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Anteris Technologies Global Corp. Major Shareholding Notification 2021

May 23, 2021

33869_rns_2021-05-23_d38483e5-6981-4faf-9927-2bada90f419e.pdf

Major Shareholding Notification

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Form 605

Corporations Act 2001 Section 671B

Notice of ceasing to be a substantial holder

To Company Name/Scheme

Anteris Technologies Ltd

ACN/ARSN

088 221 078

1. Details of substantial holder (1)

Name Mercer Street Global Opportunity Fund, LLC ( Mercer ) ACN/ARSN (if applicable) N/A

The holder ceased to be a substantial holder on 20/05/2021 The previous notice was given to the company on 14/04/2021 The previous notice was dated 14/04/2021

2. Changes in relevant interests

Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:

Date of
change
Person whose
relevant interest
changed
Nature of
change (4)
Consideration
given in relation
to change (5)
Class (6) and
number of
securities
affected
Person’s votes
affected
20.05.2021 Mercer On-market sale $79,612 9,838 Ordinary
Shares
9,838 Ordinary Shares

3. Changes in association

The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

o have become associates (3) of, ceased to be associates of, or
interests in the company or scheme are as follows:
have changed the nature of their association (7) with, the substantial holder
Name and ACN/ARSN(if applicable) Nature of association
N/A N/A

4. Addresses

The addresses of persons named in this form are as follows:

f persons named in this form are as follows:
Name Address
Mercer Street Global OpportunityFund, LLC 107 Grand Street, 7th Floor, New York, NY, 10013, USA

Signature

print name Jonathan Juchno capacity Duly authorised
representative
sign here date / /
20 05 2021

DIRECTIONS

  • (1) If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 4 of the form.

  • (2) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.

  • (3) See the definition of "associate" in section 9 of the Corporations Act 2001.

  • (4) Include details of:

  • (a) any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and

  • (b) any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies).

  • See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.

  • (5) Details of the consideration must include any and all benefits, moneys and other, that any person from whom a relevant interest was acquired has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired.

  • (6) The voting shares of a company constitute one class unless divided into separate classes.

  • (7) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.