Helm, by Luma Legal

For ASX listed companies

Your company, in one place.

Helm reads the forms your company already lodges and turns them into a live compliance record. Placement capacity, deadlines, registers and board reporting, current to the last document you dropped in.

In evaluation with ASX listed entities. A limited number of evaluation partners are being taken on.Set up from forms you have already lodged, in about half an hourBuilt by a corporate and commercial law firm, not a software houseEvery figure names the document behind itYour data stays in your own browser

The problem

Compliance obligations do not scale with the size of the team.

The Corporations Act and the Listing Rules apply in full to every listed entity, and the deadlines are the same length for everyone. None of it is difficult, and all of it is easy to miss, and the difference is that a miss is published.

chapters of the Listing Rules apply in an ordinary trading year

business days to lodge a director's interest notice, and the clock starts on something in that director's private affairs

business days to cleanse an issue, or those securities stay restricted for twelve months

15%

placement capacity, worked out from a five part formula on a rolling twelve month window

business days for a substantial holder to notify you, and you release the notice the same day

spreadsheet doing all of it, usually held by one person working part time

Sixty seconds, on a fictional company

There is a longer two minute walkthrough here.

Take the tour

Thirteen slides on what Helm does.

Use the arrows or the dots. The same deck we walk through on a call.

Helm, by Luma Legal

Your company, in one place.

Helm reads the forms your company already lodges and turns them into a live compliance record, so your placement capacity, deadlines, registers and board reporting stay current to the last document you added.

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The problem

Compliance obligations do not scale with the size of the team.

The Corporations Act and the Listing Rules apply in full to every listed entity, and the deadlines are the same length for everyone.

chapters of the Listing Rules apply in an ordinary trading year

business days to lodge a director's interest notice, and the clock starts on something in that director's private affairs

business days to cleanse an issue, or those securities stay restricted for twelve months

15%

placement capacity, worked out from a five part formula on a rolling twelve month window

business days for a substantial holder to notify you, and you release the notice the same day

spreadsheet doing all of it, usually held by one person working part time

None of it is difficult, and all of it is easy to miss. The difference is that a miss is published.

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What Helm is

It reads the forms you already lodge.

Drag in the PDF you lodged, whether that is an Appendix 2A, 3B, 3G, 3H or 4G, a director's interest notice, a substantial holder notice, a cleansing statement or the annual report.

Helm reads it, updates the register, recalculates your capacity and moves the affected deadlines. You review what it found and approve it before anything is saved.

A guided setup page that names each form and the order to load it in
Nothing is keyed twice, and nothing is saved until you accept it
Every figure names the document behind it

What it deliberately does not do

It does not give legal advice
It does not draft your documents
It does not lodge anything with ASX
It does not decide a Chapter 11 or a related party question

Where the answer needs a lawyer, Helm queues a scoped instruction to Luma Legal with your current figures already in it.

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Setting it up

It sets itself up from forms you have already lodged.

There is nothing to prepare, nothing to export and nothing to send us. Every document Setup asks for is already public on your ASX announcements page or already in your files.

Open Setup

The first module in the portal lists every document Helm needs, in the order it needs it, with a progress bar

Drop the forms in

Appendix 3B first, then 2A, then 3G and 3H, the director and holder notices, the annual report and last year's 4G

Answer six questions

The balance date, the AGM, the 7.1A mandate, the directors and where requests should go. Nothing else is asked

Check and back up

Run the reconciliation checks, then back up. The portal is now live on your own figures

One ordering rule does most of the work. Setup asks for the Appendix 3B forms before the Appendix 2A forms, because a 3B states the listing rule limb at Part 7D.1 and a 2A never does. Loaded that way round, every capacity figure is right on the first pass.

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The portal

Thirteen modules, one entity, one screen.

Setup gets the entity loaded from forms it has already lodged. The other twelve answer the questions a company secretary gets asked, and every one of them reads from the same record.

Setup

Every document Helm needs, in the order it needs it, with a progress bar

Overview

What needs attention today and what is coming, with every figure linked back to its module

Company

The entity's details, entered once and read by every other module

Headroom

Placement capacity, capital raisings and the cleansing deadline

Ledger

The securities register, every capital event, and the working behind each figure

Holders

Substantial holders, the 20% line and the twenty largest holders

Transactions

A proposed acquisition or disposal, scoped and sent to the firm

Diary

Every periodic reporting deadline on a single calendar

Board

The board, rotation, directors' interests and the meeting agenda

Disclosure

A disclosure decision log, written as the decision is made

Market

Announcements, price, volume and the 15 day VWAP

Governance

The governance statement, read across all 35 recommendations

Requests

Everything queued for Luma Legal, and where each one is up to

5 / 13

The flagship

Placement capacity, worked out in front of you.

Listing Rule 7.1 runs on a rolling twelve month window. Helm holds that window, applies the limb each issue was actually made under, and shows every line of the arithmetic against the form it came from.

Fully paid ordinary on issue twelve months ago643,566,124Appendix 2A dated 30-01-2026

Plus issues made with holder approval212,536,775limb read off the Appendix 3B of 08-12-2025

Variable A856,102,899

Fifteen per cent128,415,435Listing Rule 7.1

Less issued under 7.1 in the window0nothing left unratified

Available today under Listing Rule 7.1128,415,435

An Appendix 2A never states the limb. The Appendix 3B it completes does, at Part 7D.1. Helm reads the two together, which is the difference between a capacity figure that is right and one that is only plausible.

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Drag and drop

It reads the lodged form, not a summary of it.

There is no template to fill in and no export to prepare, because the PDF you lodged is the input.

Appendix 2A

Quotation of securities, including the whole Part 4 capital table

Appendix 3B

A proposed issue, and the listing rule limb stated at Part 7D.1

Appendix 3G

An issue of unquoted securities, and any rule 7.2 exception

Appendix 3H

A cessation, whether by exercise, vesting, lapse or cancellation

Appendix 3X, 3Y, 3Z

Director interest notices, with the five business day clock

Forms 603, 604, 605

Substantial holders, and voting power before and after

Appendix 4G

The governance statement, read across all 35 recommendations

Cleansing statements

Sections 708A, 708AA and 1012DA, matched to the issue each one cleanses

Annual report

The twenty largest holders, substantial holders and unquoted classes

Registry exports

Allotment journals and holder reports, in Excel or CSV

Our market scan found no other product that reads lodged ASX Appendix forms into a compliance record. That reading is the part of Helm we have not seen elsewhere.

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Where it earns its keep

It checks your documents against each other.

ASX builds Part 4 of an Appendix 2A automatically and warns on the form itself that the figures may be wrong while another form is being processed. Two forms lodged on the same day carry the same starting base, and a register goes stale the moment anything is issued.

Securities on issue do not reconcile

The Company page says 856,102,899. The most recent Appendix 2A says 768,602,899 and the ledger records nothing since. The gap is 87,500,000.

The same issue may be counted twice

87,500,000 is proposed on an Appendix 3B and the same number is issued on an Appendix 2A. Capacity is being reduced twice for one issue.

An issue sits against the wrong limb

The Appendix 3B states holder approval under rule 7.1, and the matching event is recorded against placement capacity. Correcting it lifts capacity twice over.

The report does not add up

The twenty rows come to 246,027,113. The total printed under them says 250,470,070.

Helm never quietly picks a winner between two lodged forms. It names the disagreement, shows you both documents, and leaves the call with you.

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Legal and compliance coverage

Every watch item names its authority.

Nothing in the portal runs on a rule of thumb. Every obligation carries the section or the listing rule it comes from, so anyone who asks can check the working.

Placement capacity

LR 7.1, 7.1A, 7.4

The rolling window, variable A, ratification and the price floor

Cleansing and on sale

s708A(5), (6), (11), s707(3)

Five business days for each issue, with the suspension test run against that issue date

Director interests

LR 3.19A, 3.19B, s205G

Five business days from an appointment, a change or a cessation, checked against the holdings register

Substantial holders

s671B, s606, s611

The 5% notice, the 20% line and the creep exception

Board and rotation

LR 14.4, 14.5

Which directors must stand for election, and what that puts on the agenda

Meetings

s249HA, s250N, s250R

Notice periods, the AGM deadline, and a library of standard resolutions

Related parties

LR 10.11, 10.14, Chapter 2E

Flagged and routed, never concluded by the portal

Continuous disclosure

LR 3.1, 3.1A

A decision log recording the limb relied on, written as the decision is made

Periodic reporting

LR 4.2A, 4.3A, 4.5, 5.5

The Appendix 4D, 4E and 5B and the annual report, on one calendar

Governance

LR 4.10.3, ASX CGC 4th edition

All 35 recommendations, read straight out of your own Appendix 4G

Escrow

LR Chapter 9

Restricted and voluntary escrow, with every release date on the calendar

Change of activities

LR 11.1, 11.2

Recorded and sent to Luma Legal, because the judgement stays with the firm

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For the board

Download a current snapshot to put in front of the board.

Helm produces a board ready snapshot straight from the browser, covering capacity, capital structure, what is coming up and what needs a decision.

It is set out in plain words rather than colour coding, so it reads the same printed in black and white as it does on a director's phone.

Nothing leaves the machine
Save it as a PDF from the print dialogue
The same figures the company secretary is working from

At a glance

Securities on issue856,102,899

Placement capacity, rule 7.1128,415,435

Placement capacity, rule 7.1A85,610,290

15 day VWAP$0.0066

Matters for the board

Two director interest notices have no lodgement date recorded.

87,500,000 securities under escrow, released 23-07-2026.

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How it works with your lawyers

Helm watches. Luma Legal advises.

The portal carries the record, and the firm carries the judgement.

Something happens

An issue of securities, a notice, a proposed acquisition, or a deadline coming into range

Helm sees it

It reads the form, updates the register, recalculates the effect and flags what it means

You decide

Handle it in house, or queue a scoped instruction for the firm

Luma Legal advises

Your current figures are already in the instruction, so nobody has to go looking for them

Helm stops short of the judgement calls on purpose, because a percentage produced by software gets relied on as an answer, and a Chapter 11 or a Chapter 2E question is not arithmetic.

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Your data

It stays where you put it.

A governance product holds price sensitive information before the market does, and that shapes every decision about where the data sits.

Nothing is sent anywhere

In the evaluation build every figure stays in your own browser on your own machine, so Luma Legal cannot see what you enter.

Back up in one click

Back up to a single file that you keep, and restore it onto any machine in seconds.

Undisclosed information is treated as such

Section 1043A catches anyone who holds inside information, so the disclosure log is built on that footing and access is kept deliberately narrow.

Every figure is traceable

A compliance record you cannot check is not a compliance record, so every number names the form it came from and the date that form speaks as at.

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Helm, by Luma Legal

See it against your own company.

Bring an Appendix 2A, an Appendix 3B and your last annual report, and Helm will be running on your own figures before the meeting is over.

Angus Henderson

Luma Legal Pty Ltd, ACN 686 089 403

admin@lumalegal.com.au

Web

lumalegal.com.au

Helm records and calculates. It does not provide legal advice and it is not a substitute for advice on your circumstances. Every figure it produces depends on the documents and data entered into it, and should be checked before it is relied on, released or lodged. Helm is a product of Luma Legal Pty Ltd, ACN 686 089 403.

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Slide 1 of 13

On a phone the slides are small. Turn the handset sideways, or open the deck as a PDF.

What Helm is

It reads the forms you already lodge.

Drop in the PDF you lodged. Helm reads the document, updates the register, recalculates your capacity and moves the deadlines. You see what it found and approve it before anything is saved.

Nothing is keyed twice
Nothing is saved until you accept it
Every figure names the document behind it
It checks your lodged forms against each other and names the disagreement

What it deliberately does not do

It does not give legal advice
It does not draft your documents
It does not lodge anything with ASX
It does not decide a Chapter 11 or a related party question

Where the answer needs a lawyer, Helm queues a scoped instruction to Luma Legal with your current figures already in it.

The documents it reads

Appendix 2AQuotation of securities, including the whole Part 4 capital table
Appendix 3BA proposed issue, and the listing rule limb stated at Part 7D.1
Appendix 3GAn issue of unquoted securities, and any rule 7.2 exception
Appendix 3HA cessation, whether by exercise, vesting, lapse or cancellation
Appendix 3X, 3Y, 3ZDirector interest notices, with the five business day clock
Forms 603, 604, 605Substantial holders, and voting power before and after
Appendix 4GThe governance statement, read across all 35 recommendations
Cleansing statementsSections 708A, 708AA and 1012DA, matched to the issue each one cleanses
Annual reportThe twenty largest holders, substantial holders and unquoted classes
Registry exportsAllotment journals and holder reports, in Excel or CSV

Setting it up

It sets itself up from forms you have already lodged.

There is nothing to prepare, nothing to export and nothing to send us. The first module in the portal is Setup, a single page listing every document Helm needs in the order it needs it, with a drop area beside each step and a progress bar. Every document it asks for is already public on your ASX announcements page or already in your files.

Open Setup

The first module in the portal lists every document Helm needs, in the order it needs it, with a progress bar

Drop the forms in

Appendix 3B first, then 2A, then 3G and 3H, the director and holder notices, the annual report and last year's 4G

Answer six questions

The balance date, the AGM, the 7.1A mandate, the directors and where requests should go. Nothing else is asked

Check and back up

Run the reconciliation checks, then back up. The portal is now live on your own figures

The portal

Thirteen modules, one entity, one screen.

Setup gets the entity loaded from forms it has already lodged. The other twelve answer the questions a company secretary gets asked, and every one of them reads from the same record.

Setup

Every document Helm needs, in the order it needs it, with a progress bar

Overview

What needs attention today and what is coming, with every figure linked back to its module

Company

The entity's details, entered once and read by every other module

Headroom

Placement capacity, capital raisings and the cleansing deadline

Ledger

The securities register, every capital event, and the working behind each figure

Holders

Substantial holders, the 20% line and the twenty largest holders

Transactions

A proposed acquisition or disposal, scoped and sent to the firm

Diary

Every periodic reporting deadline on a single calendar

Board

The board, rotation, directors' interests and the meeting agenda

Disclosure

A disclosure decision log, written as the decision is made

Market

Announcements, price, volume and the 15 day VWAP

Governance

The governance statement, read across all 35 recommendations

Requests

Everything queued for Luma Legal, and where each one is up to

Helm is a beta. It runs in the browser, there is no automatic data feed yet, and prices, VWAPs and announcements are loaded from exports.

Legal and compliance coverage

Every watch item names its authority.

Nothing in the portal is a rule of thumb. Each obligation carries the section or the listing rule it comes from, so the working can be checked by anyone who asks.

Placement capacity

LR 7.1, 7.1A, 7.4

The rolling window, variable A, ratification and the price floor

Cleansing and on sale

s708A(5), (6), (11), s707(3)

Five business days for each issue, with the suspension test run against that issue date

Director interests

LR 3.19A, 3.19B, s205G

Five business days from an appointment, a change or a cessation, checked against the holdings register

Substantial holders

s671B, s606, s611

The 5% notice, the 20% line and the creep exception

Board and rotation

LR 14.4, 14.5

Which directors must stand for election, and what that puts on the agenda

Meetings

s249HA, s250N, s250R

Notice periods, the AGM deadline, and a library of standard resolutions

Related parties

LR 10.11, 10.14, Chapter 2E

Flagged and routed, never concluded by the portal

Continuous disclosure

LR 3.1, 3.1A

A decision log recording the limb relied on, written as the decision is made

Periodic reporting

LR 4.2A, 4.3A, 4.5, 5.5

The Appendix 4D, 4E and 5B and the annual report, on one calendar

Governance

LR 4.10.3, ASX CGC 4th edition

All 35 recommendations, read straight out of your own Appendix 4G

Escrow

LR Chapter 9

Restricted and voluntary escrow, with every release date on the calendar

Change of activities

LR 11.1, 11.2

Recorded and sent to Luma Legal, because the judgement stays with the firm

How it works with your lawyers

Helm watches. Luma Legal advises.

The portal carries the record. The firm carries the judgement. Helm stops short of the judgement calls on purpose, because a Chapter 11 or a Chapter 2E question is not arithmetic.

Something happens

An issue of securities, a notice, a proposed acquisition, or a deadline coming into range

Helm sees it

It reads the form, updates the register, recalculates the effect and flags what it means

You decide

Handle it in house, or queue a scoped instruction for the firm

Luma Legal advises

Your current figures are already in the instruction, so nobody has to go looking for them

Evaluation programme

Register your interest in the evaluation programme.

Bring an Appendix 2A, an Appendix 3B and your last annual report. Helm will be running on your own figures before the meeting is over.

A walkthrough on your own entity, no obligation
An evaluation licence while you decide
Set up and data loading handled by us

Prefer email or a phone call?
admin@lumalegal.com.au

Helm is a product of Luma Legal Pty Ltd, ACN 686 089 403admin@lumalegal.com.au lumalegal.com.au

Helm is supplied by Luma Legal Pty Ltd.

Helm records and calculates. It does not provide legal advice and it is not a substitute for advice on your circumstances. Every figure it produces depends on the documents and data entered into it, and should be checked before it is relied on, released or lodged. Nothing on this page is an offer, and use of the portal is governed by the licence terms supplied with it.