AMP LIMITED — Director's Dealing 2011

Jan 24, 2011

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ASX Announcement
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25 January 2011

Manager Manage Company Announcements Office Australian Securities Exchange Level 4, 20 Bridge Street Sydney NSW 2000

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Market Information Services Section New Zealand Stock Exchange Level 2, NZX Centre, 11 Cable Street Wellington New Zealand

Announcement No: 01/11 (Updated)

AMP Limited (ASX/NZX: AMP)

Appendix 3Y – Change of Directors’ Interest Notices

We refer to our release to the ASX on 13 January 2011 in relation to change in the interests of AMP Limited directors in shares in AMP Limited.

The Appendix 3Y documents used in the release on 13 January 2011 were the former version of that document. The attached announcement has been prepared using the current version of the Appendix 3Y document.

Please note that the information in relation to shares acquired and share balances contained in the attached announcement is identical to that included in the release on 13 January 2011.

AMP Limited (AMP) ASX Announcement

AMP Limited Level 24, 33 Alfred Street Sydney NSW 2000 Australia ABN 49 079 354 519

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	Peter Edward MASON
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.
Date of change	6 January 2011
No. of securities held prior to change	 118,012 Ordinary Shares registered in the name of the Director;  3,088 Ordinary Shares registered in the name Peter E Mason and Catherine A Mason; and  293,711 Ordinary Shares registered in the name of Burgoyne Investments Pty Ltd ATF Burgoyne Super Fund.
Class	Ordinary
Number acquired	2,262 Ordinary shares
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change	 120,274 Ordinary Shares registered in the name of the Director;  3,088 Ordinary Shares registered in the name Peter E Mason and Catherine A Mason; and  293,711 Ordinary Shares registered in the name of Burgoyne Investments Pty Ltd ATF Burgoyne Super Fund.
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	The shares were purchased on market pursuant to the AMP Non-Executive Directors’ Share Plan under which a percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed No above traded during a[+] closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this N/A provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	Richard John GRELLMAN
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	6 January 2011
No. of securities held prior to change	58,425 Ordinary Shares held in the name of the Director.
Class	Ordinary
Number acquired	658 ordinary
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share
No. of securities held after change	59,083 Ordinary Shares held in the name of the Director.

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Nature of change The shares were purchased on market Example: on‐market trade, off‐market trade, exercise of options, pursuant to the AMP Non-Executive issue of securities under dividend reinvestment plan, participation in Directors’ Share Plan under which a buy‐back percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed No above traded during a[+] closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this N/A provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	Nora Lía SCHEINKESTEL
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	6 January 2011
No. of securities held prior to change	 49,567 Ordinary Shares in the name of the Director;  15,814 Ordinary Shares in the name of Scheinkestel Superannuation Pty Limited ATF Scheinkestel Superannuation Fund No. 1 Account;  4,894 Ordinary Shares in the name of Scheinkestel Superannuation Pty Limited ATF Scheinkestel Superannuation Fund No. 2 Account;  23,169 Ordinary Shares in the name of Scheinkestel Superannuation Pty Limited ATF Scheinkestel Superannuation Fund No. 3 Account; and  3,028 Ordinary shares in the name of Carlos D Scheinkestel.

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Class	Ordinary
Number acquired	658 Ordinary shares
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share
No. of securities held after change	 50,225 Ordinary Shares in the name of the Director;  15,814 Ordinary Shares in the name of Scheinkestel Superannuation Pty Limited ATF Scheinkestel Superannuation Fund No. 1 Account;  4,894 Ordinary Shares in the name of Scheinkestel Superannuation Pty Limited ATF Scheinkestel Superannuation Fund No. 2 Account;  23,169 Ordinary Shares in the name of Scheinkestel Superannuation Pty Limited ATF Scheinkestel Superannuation Fund No. 3 Account; and  3,028 Ordinary shares in the name of Carlos D Scheinkestel.
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	The shares were purchased on market pursuant to the AMP Non-Executive Directors’ Share Plan under which a percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Part 3 –+Closed period
Were the interests in the securities or contracts detailed above traded during a+closed period where prior written clearance was required?	No
If so, was prior written clearance provided to allow the trade to proceed during this period?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	John Leonard PALMER
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	6 January 2011
No. of securities held prior to change	 24,359 Ordinary Shares registered in the name of the Director;  25,262 Ordinary shares registered in the name of John Leonard Palmer & Sally Catherine Palmer.
Class	Ordinary
Number acquired	658 Ordinary shares
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change	 25,017 Ordinary Shares registered in the name of the Director;  25,262 Ordinary shares registered in the name of John Leonard Palmer & Sally Catherine Palmer.
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	The shares were purchased on market pursuant to the AMP Non-Executive Directors’ Share Plan under which a percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed No above traded during a[+] closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this N/A provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	James Brian CLARK
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	6 January 2011
No. of securities held prior to change	 21,648 Ordinary Shares registered in the name of the Director; and  10,834 Ordinary shares registered under Bond Street Custodians Limited – Brian and Sandra Superfund.
Class	Ordinary
Number acquired	658 Ordinary shares
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change	 22,306 Ordinary Shares registered in the name of the Director; and  10,834 Ordinary shares registered under Bond Street Custodians Limited – Brian and Sandra Superfund.
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	The shares were purchased on market pursuant to the AMP Non-Executive Directors’ Share Plan under which a percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed No above traded during a[+] closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this N/A provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	Peter Roger SHERGOLD
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	6 January 2011
No. of securities held prior to change	22,031 Ordinary Shares registered in the name of the Director
Class	Ordinary
Number acquired	658 Ordinary shares
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share
No. of securities held after change	22,689 Ordinary Shares registered in the name of the Director

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Nature of change The shares were purchased on market Example: on‐market trade, off‐market trade, exercise of options, pursuant to the AMP Non-Executive issue of securities under dividend reinvestment plan, participation in Directors’ Share Plan under which a buy‐back percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed No above traded during a[+] closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this N/A provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	Paul Anthony FEGAN
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	6 January 2011
No. of securities held prior to change	14,505 Ordinary Shares registered in the name of the Director.
Class	Ordinary
Number acquired	658 Ordinary shares
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share
No. of securities held after change	15,163 Ordinary Shares registered in the name of the Director.

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

Nature of change The shares were purchased on market Example: on‐market trade, off‐market trade, exercise of options, pursuant to the AMP Non-Executive issue of securities under dividend reinvestment plan, participation in Directors’ Share Plan under which a buy‐back percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Part 3 –+Closed period
Were the interests in the securities or contracts detailed above traded during a+closed period where prior written clearance was required?	No
If so, was prior written clearance provided to allow the trade to proceed during this period?	N/A
If prior written clearance was provided, on what date was this provided?	N/A

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011

Appendix 3Y Change of Director’s Interest Notice

Rule 3.19A.2

Appendix 3Y

Change of Director’s Interest Notice

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 30/09/01 Amended 01/01/11

Name of entity: AMP LIMITED ABN: 49 079 354 519

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

Name of Director	Catherine Michelle BRENNER
Date of last notice	16 December 2010

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

Direct or indirect interest	Direct
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest.	N/A
Date of change	6 January 2011
No. of securities held prior to change	2,634 Ordinary Shares registered in the name of the Director; and 25,000 Ordinary Shares registered in the name of Phine Holdings Pty Ltd ATF Brenner Superannuation Fund.
Class	Ordinary
Number acquired	658 Ordinary shares
Number disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and estimated valuation	AUD5.24 per share

• See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Appendix 3Y Change of Director’s Interest Notice

No. of securities held after change	3,292 Ordinary Shares registered in the name of the Director; and 25,000 Ordinary Shares registered in the name of Phine Holdings Pty Ltd ATF Brenner Superannuation Fund.
Nature of change Example: on‐market trade, off‐market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy‐back	The shares were purchased on market pursuant to the AMP Non-Executive Directors’ Share Plan under which a percentage of the Director’s fees for December 2010 was paid in the form of shares, as part of the ongoing sacrifice of Directors’ fees.

Part 2 – Change of director’s interests in contracts

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

Detail of contract	N/A
Nature of interest	N/A
Name of registered holder (if issued securities)	N/A
Date of change	N/A
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed	N/A
Interest acquired	N/A
Interest disposed	N/A
Value/Consideration Note: If consideration is non‐cash, provide details and an estimated valuation	N/A
Interest after change	N/A

Part 3 –[+] Closed period

Were the interests in the securities or contracts detailed No above traded during a[+] closed period where prior written clearance was required? If so, was prior written clearance provided to allow the trade N/A to proceed during this period? If prior written clearance was provided, on what date was this N/A provided?

• See chapter 19 for defined terms.

Appendix 3Y Page 2

01/01/2011