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Form 6-K GENETIC TECHNOLOGIES For: Feb 09

February 9, 2015 12:49 PM EST

FORM�6-K

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE

SECURITIES EXCHANGE ACT OF 1934

dated February�9, 2015

Commission File Number 0-51504

GENETIC TECHNOLOGIES LIMITED

(Exact Name as Specified in its Charter)

N/A

(Translation of Registrant�s Name)

60-66 Hanover Street

Fitzroy

Victoria 3065 Australia

(Address of principal executive offices)

Indicate by check mark whether the registrant files or will file annual reports under cover of Form�20-F or Form�40-F.

Form�20-F��x����Form�40-F��o

Indicate by check mark if the registrant is submitting the Form�6-K in paper as permitted by Regulation S-T Rule�101(b)(1):�o

Indicate by check mark if the registrant is submitting the Form�6-K in paper as permitted by Regulation S-T Rule�101(b)(7):�o

Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule�12g3-2(b)�under the Securities Exchange Act of 1934.

Yes��o����No��x

If �Yes� is marked, indicate below the file number assigned to the registrant in connection with Rule�12g3-2(b):� Not applicable.



SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused the Report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: February�9, 2015

GENETIC TECHNOLOGIES LIMITED

By:

/s/ Bronwyn Christie

Name:

Bronwyn Christie

Title:

Company Secretary

2



EXHIBIT�INDEX

Exhibit

Description�of�Exhibit

99.1

Appendix 3B, February�9, 2015

3


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 Name of entity GENETIC TECHNOLOGIES LIMITED ABN 17 009 212 238 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). 1 +Class of +securities issued or to be issued Ordinary shares 2 Number of +securities issued or to be issued (if known) or maximum number which may be issued 43,499,999 3 Principal terms of the +securities (eg, 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) Fully paid ordinary shares 16,000,000 in respect of the drawdown, under the standby equity placement facility. 27,499,999 in respect to exercise of options approved at the Annual General Meeting on 25th November 2014. + See chapter 19 for defined terms. 01/08/2012 Appendix 3B Page 1


Appendix 3B New issue announcement4 Do the +securities rank equally in all respects from the date of allotment with an existing +class of quoted +securities? 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 Yes 5 Issue price or consideration 16,000,000 at $0.02 27,499,999 at $0.015 6 Purpose of the issue (If issued as consideration for the acquisition of assets, clearly identify those assets) 16,000,000 - The drawdown of funds pursuant to an allotment request submitted to Kentgrove Capital Growth Fund under the standby equity placement facility, details of which were announced to the market on 22nd January 2015. 27,499,999 � Exercise of options 6a Is the entity an +eligible entity that has obtained security holder approval under rule 7.1A? If Yes, complete sections 6b � 6h in relation to the +securities the subject of this Appendix 3B, and comply with section 6i No 6b The date the security holder resolution under rule 7.1A was passed Not applicable 6c Number of +securities issued without security holder approval under rule 7.1 Not applicable 6d Number of +securities issued with security holder approval under rule 7.1A Not applicable 6e 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 01/08/2012


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 4,651,305 7 Dates of entering +securities into uncertificated holdings or despatch of certificates 9 February 2015 Number +Class 8 Number and +class of all +securities quoted on ASX (including the securities in section 2 if applicable) 1,124,148,254 Ordinary shares + See chapter 19 for defined terms. 01/08/2012 Appendix 3B Page 3


Appendix 3B New issue announcement Number +Class 9 Number and +class of all +securities not quoted on ASX (including the securities in section 2 if applicable) 1,875,000 1,000,000 750,000 2,650,000 250,000 500,000 750,000 6,875,000 1,390,000 89,166,667 Options at $0.19, exp. 31/3/2016 (GTGAW) Options at $0.20, exp. 31/7/2016 (GTGAM) Options at $0.12, exp. 20/2/2017 (GTGAK) Options at $0.14, exp. 29/8/2017 (GTGAO) Options at $0.10, exp. 1/12/17 (GTGAQ) Options at $0.10, exp. 25/1/18 (GTGAS) Options at $0.105, exp. 11/7/18 (GTGAY) Options at $0.04, exp. 31/5/19 (GTGAA) Convertible Notes issued on 3 December 2014 (GTGAB) Options at $0.015, exp. 2/12/2018 (GTGAC) + See chapter 19 for defined terms. Appendix 3B Page 4 01/08/2012


Appendix 3B New issue announcement Part 2 - Bonus issue or pro rata issue 10 Dividend policy (in the case of a trust, distribution policy) on the increased capital (interests) 11 Is security holder approval required? 12 Is the issue renounceable or non-renounceable? 13 Ratio in which the +securities will be offered 14 +Class of +securities to which the offer relates 15 +Record date to determine entitlements 16 Will holdings on different registers (or subregisters) be aggregated for calculating entitlements? 17 Policy for deciding entitlements in relation to fractions 18 Names of countries in which the entity has +security holders who will not be sent new issue documents Note: Security holders must be told how their entitlements are to be dealt with. Cross reference: rule 7.7. 19 Closing date for receipt of acceptances or renunciations 20 Names of any underwriters 21 Amount of any underwriting fee or commission 22 Names of any brokers to the issue 23 Fee or commission payable to the broker to the issue 24 Amount of any handling fee payable to brokers who lodge acceptances or renunciations on behalf of +security holders + See chapter 19 for defined terms. 01/08/2012 Appendix 3B Page 5


Appendix 3B New issue announcement 25 If the issue is contingent on +security holders� approval, the date of the meeting 26 Date entitlement and acceptance form and prospectus or Product Disclosure Statement will be sent to persons entitled 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 28 Date rights trading will begin (if applicable) 29 Date rights trading will end (if applicable) 30 How do +security holders sell their entitlements in full through a broker? 31 How do +security holders sell part of their entitlements through a broker and accept for the balance? 32 How do +security holders dispose of their entitlements (except by sale through a broker)? 33 +Despatch date 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 + See chapter 19 for defined terms. Appendix 3B Page 6 01/08/2012


Appendix 3B New issue announcement 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) 38 Number of securities for which +quotation is sought 39 Class of +securities for which quotation is sought 40 Do the +securities rank equally in all respects from the date of allotment with an existing +class of quoted +securities? 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 41 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) Number +Class 42 Number and +class of all +securities quoted on ASX (including the securities in clause 38) + See chapter 19 for defined terms. 01/08/2012 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. 4 We give ASX the information and documents required by this form. If any information or document not available now, 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. Sign here: /s/ Bronwyn Christie Date: 9 February 2015 Financial Controller & Company Sectretary Print name: Bronwyn Christie + See chapter 19 for defined terms. Appendix 3B Page 8 01/08/2012


Appendix 3B � Annexure 1 Calculation of placement capacity under rule 7.1 and rule 7.1A for +eligible entities Introduced 01/08/12 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 date of issue or agreement to issue 597,926,082 Add the following: � Number of fully paid ordinary securities issued in that 12 month period under an exception in rule 7.2 � Number of fully paid ordinary securities issued in that 12 month period with shareholder approval � Number of partly paid ordinary securities that became fully paid in that 12 month period 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 19,074,112 440,502,140 Subtract the number of fully paid ordinary securities cancelled during that 12 month period 75,937,500 �A� 981,564,834 Step 2: Calculate 15% of �A� �B� 0.15 [Note: this value cannot be changed] Multiply �A� by 0.15 147,234,725 + See chapter 19 for defined terms. 01/08/2012 Appendix 3B Page 9


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: � 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� 142,583,420 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 2 147,234,725 Subtract �C� Note: number must be same as shown in Step 3 142,583,420 Total [�A� x 0.15] � �C� 4,651,305 [Note: this is the remaining placement capacity under rule 7.1] + See chapter 19 for defined terms. 01/08/2012 Appendix 3B Page 10


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 Step 2: Calculate 10% of �A� �D� 0.10 Note: this value cannot be changed Multiply �A� by 0.10 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: � 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� + See chapter 19 for defined terms. 01/08/2012 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 Subtract �E� Note: number must be same as shown in Step 3 Total [�A� x 0.10] � �E� Note: this is the remaining placement capacity under rule 7.1A + See chapter 19 for defined terms. 01/08/2012 Appendix 3B Page 12



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