ASX LIMITED — Interim / Quarterly Report 2017

Sep 4, 2016

5 September 2016

Australian Securities and Investments Commission Mr Oliver Harvey Senior Executive Leader, Financial Market Infrastructure Level 5, 100 Market Street SYDNEY NSW 2000

ASX Market Announcements Office ASX Limited 20 Bridge Street SYDNEY NSW 2000

ASX MONTHLY ACTIVITY REPORT – AUGUST 2016

Attached is a copy of the Monthly Activity Report for August 2016.

Amanda J. Harkness

Group General Counsel & Company Secretary

20 Bridge Street Sydney NSW 2000

ASX Limited ABN 98 008 624 691

www.asx.com.au Customer service 13 12 79

MARKET ANNOUNCEMENT

5 September 2016

ASX GROUP MONTHLY ACTIVITY REPORT – AUGUST 2016

The value of ASX-listed stocks, as measured by the All Ordinaries Index, fell 2.0% in August 2016. This performance was in contrast to some major markets, including Hong Kong up 5.0%, Germany up 2.5%, Japan up 1.9% and the UK up 0.8%. Declines were also observed in Singapore, down 1.7% and the US down 0.1%.

Volatility measures for the Australian equity market fell below long-term averages during August:

• Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.4% in August, down on the previous month (0.5%).

• Expected future volatility (as measured by the S&P/ASX 200 VIX) fell in August to an average of 13.2 (compared to 16.3 in July).

LISTINGS AND CAPITAL RAISINGS

• In August 2016, total capital raised was $6.2 billion, down 12% on the previous corresponding period (pcp).

Listings and Capital Raisings

August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD

New listed entities admitted 16 9 28 23 De-listings 34 26 40 36 Total listed entities (at end of month) 2,192 2,207 Change on pcp -1% Initial capital raised ($million) 2,551 627 3,975 3,398 Change on pcp 307% 17% Secondary capital raised ($million) 3,014 5,759 9,941 11,209 Other capital raised including scrip-for-scrip ($million) 720 749 998 1,724 Total secondary capital raised ($million) 3,734 6,508 10,939 12,933 Change on pcp -43% -15% Total capital raised including other ($million) 6,285 7,135 14,914 16,331 Change onpcp -12% -9%

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TRADING – CASH MARKETS (INCLUDING EQUITIES, INTEREST RATE AND WARRANTS TRADES)

• In August 2016, the average daily number of trades was 13% higher than the pcp. The average daily value traded on-market of $4.1 billion was 15% lower than the pcp.

Cash Markets

August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD

Total trading days (Cash market includes equity, warrant and interest rate market transactions) 23 21 44 44 Cash market volume Total trades 23,069,725 18,740,298 43,647,231 35,968,821 Change on pcp 23% 21% Average daily trades 1,003,032 890,681 991,983 817,473 Change on pcp 13% 21% Cash market value Open trading ($billion) 66.910 76.437 125.171 139.205 Auctions trading ($billion) 18.267 17.944 35.065 33.348 Centre Point ($billion) 9.322 6.603 16.525 12.616 Trade reporting ($billion) 14.979 14.453 25.070 24.293 Total value ($billion) 109.478 115.437 201.831 209.462 Change on pcp -5% -4% Average daily value on-market ($billion) 4.109 4.809 4.017 4.208 Change on pcp -15% -5% Average daily value ($billion) 4.760 5.497 4.587 4.761 Change on pcp -13% -4% Average value per trade ($) 4,746 6,172 4,624 5,823 Change on pcp -23% -21% Non-billable value (above cap) ($billion) 1.566 1.231 2.185 1.512 Total billable value ($billion) 107.912 114.206 199.646 207.950 Trade reporting means the value of trades executed outside the order books of ASX or Chi-X that is subsequently reported to ASX forpublication.

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TRADING – FUTURES

• In August 2016, average daily futures and options on futures volumes were down 29% on the pcp. Average daily futures volume was down 29% and average daily options volume was down 46% on the pcp.

Futures

August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD

Futures and options total trading days (includes interest rate, ASX SPI 200, commodities and energy contracts) 23 21 44 44 Futures volume Total contracts 7,658,247 9,826,893 16,186,132 19,124,656 Change on pcp -22% -15% Average daily contracts 332,967 467,947 367,867 434,651 Options on futures volume Total contracts 106,201 181,002 251,652 301,164 Change on pcp -41% -16% Average daily contracts 4,617 8,619 5,719 6,845 Total futures and options on futures volume Total contracts 7,764,448 10,007,895 16,437,784 19,425,820 Change on pcp -22% -15% Average daily contracts 337,585 476,566 373,586 441,496 Change onpcp -29% -15%

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlySfeMarketsReport160831.pdf

CLEARING – OTC MARKETS

• In August 2016, the notional value of OTC interest rate derivative contracts centrally cleared was $299.6 billion, compared to $120.9 billion in the pcp.

OTC Markets	August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD
Total notional cleared value ($billion) 299.554 120.853 597.630 257.463 Open notional cleared value ($billion) (at end of month) * Cleared notional value is double sided 1,652.707

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TRADING – EQUITY OPTIONS

• In August 2016, the average daily number of exchange-traded options decreased 19% on the pcp.

Single stock options average daily contracts traded were down 17% on the pcp and index options average daily contracts traded were down 32% on the pcp.

Equity options

August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD

Exchange-traded options total trading days (includes single stock equity options and index options) 23 21 44 44 Single stock equity options volume Total contracts 7,549,322 8,273,082 14,088,081 15,271,955 Change on pcp -9% -8% Average daily contracts 328,231 393,956 320,184 347,090 Index options volume Total contracts 929,649 1,252,587 1,816,320 2,141,879 Change on pcp -26% -15% Average daily contracts 40,420 59,647 41,280 48,679 Total options volume Total contracts 8,478,971 9,525,669 15,904,401 17,413,834 Change on pcp -11% -9% Average daily contracts 368,651 453,603 361,464 395,769 Change onpcp -19% -9%

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CLEARING – EXCHANGE-TRADED MARKETS

• Participant margin balances held on balance sheet at month-end totalled $5.6 billion in August 2016 compared to $4.5 billion in August 2015.

ASX Clearing Corporation Collateral Balances – At End of Month	August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD
Cash margins held on balance sheet: - ASX Clear ($billion) 0.7 0.7 - ASX Clear (Futures) ($billion) 4.7 3.7 Cash equivalents held on balance sheet – ASX Clear (Futures) ($billion) 0.2 0.1 Collateral cash cover held off balance sheet (equities and guarantees) – ASX Clear ($billion) 3.6 3.5 Total billable cash market value cleared ($billion) 105.116 111.102 196.448 203.964

SETTLEMENT

• The value of securities held in CHESS was 11% higher than the pcp. The number of dominant settlement messages in August 2016 was 15% higher than the pcp.

• The value of securities held in Austraclear was 6% higher than the pcp.

ASX Settlement	August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD
Value of CHESS holdings – period end ($billion) 1,673.2 1,507.9 Dominant settlement messages(million) 1.7 1.4 3.3 2.7
Austraclear Settlement and Depository
Austraclear securities holdings – period end ($billion) 1,918.3 1,807.5

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LISTINGS COMPLIANCE ACTIVITY

Listing Compliance Activity	August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD
Total company announcements 12,348 10,956 22,039 20,802 Price queries by ASX ¹ 45 15 97 43 Other continuous disclosure queries by ASX ² 31 29 62 60 Aware letters sent by ASX ³ 9 3 18 11 Announcements made following a price query 21 11 58 31 Number of trading halts 144 104 278 217 Number of suspensions 37 28 76 58

PARTICIPANTS

• During the month of August there were no movements to ASX Market/Clearing or ASX Futures Trading/Clearing Participants.

ASX Market Participants⁴	August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD
New admissions 0 1 Resignations and removals 0 0 Market/Clearing/Settlement Participants at month end 121 120
ASX Futures Participants
New admissions 0 0 Resignations and removals 0 0 Trading/ClearingParticipants at month end 52 55

¹ Price queries are enquiries made by ASX (either by letter or phone) to a listed entity if it detects unusual movements in a listed entity’s security price or trading volumes to ask if the entity is aware of any information that has not been announced which, if know, might explain the movements.

² Other continuous disclosure queries are queries (other than price queries) raised by ASX with listed entities when ASX has concerns the entity may not be in compliance with its continuous disclosure obligations under Listings Rules 3.1, 3.1A and 3.1B. Examples include a query made following a media report or an announcement lodged with ASX.

³Aware letters are sent by ASX following an announcement by a listed entity and ask for details of when the listed entity became aware of the material information contained in the announcement.

⁴ Figures exclude Special Settlement Participants set up to effect a specific corporate action as their participation is only temporary.

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ENFORCEMENT

Referrals to ASIC ⁵	August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD
Continuous disclosure referrals 2 3 7 3 Other referrals 1 0 1 2 Total referrals to ASIC 3 3 8 5
Enforcement Matters	August 2016 Month August 2015 Month August 2016 Financial YTD August 2015 Financial YTD
Open ASX enforcement matters at month start 1 2 New enforcement matters commenced during the month 0 0 Enforcement matters concluded during the month 0 2 Open ASX enforcement matters at month end 1 0 Fines imposed duringthe month(excludingGST) Nil $50,000

ASX RULE CHANGES, WAIVERS AND EXEMPTIONS

• Details of rule and guidance note changes can be assessed online at: http://www.asx.com.au/regulation/rules/recent-rule-amendments.htm

• Details of waivers and exemptions granted by ASX can be accessed online at: http://www.asx.com.au/regulation/rules-guidance-notes-and-waivers.htm

• The weekly Australian Cash Market Report is available here: http://www.asx.com.au/services/trading services/australian-cash-market-report.htm

Further enquiries:

Media

Analysts/Investor Relations

Matthew Gibbs Stephen Hammon General Manager, Media and Communications General Manager, Finance Tel: +61 2 9227 0218 Tel: +61 2 9227 0260 Mobile: 0411 121219 Mobile: 0488 212755 matthew.gibbs@asx.com.au stephen.hammon@asx.com.au http://www.asx.com.au/about/media-releases.htm http://www.asx.com.au/about/investor-relations.htm

⁵ ASX is require, under sections 792B(2)(c) and 821B(2)(c) of the Corporations Act 2001, to refer a matter to ASIC if it has reason to suspect that a person has committed, is committing, or is about to commit a significant contravention of the ASX Group’s Operating Rules or the Corporations Act. It should be noted that a single referral may relate to more than one potential contravention. It should also be noted that the fact a matter has been referred to ASIC does not necessarily mean that a contravention has been committed or that ASIC will take enforcement proceedings in relation to it.

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