ASX LIMITED — Interim / Quarterly Report 2017

Jul 4, 2017

5 July 2017

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 GROUP MONTHLY ACTIVITY REPORT – JUNE 2017

Attached is a copy of the ASX Group Monthly Activity Report for June 2017.

Amanda J Harkness Group General Counsel and Company Secretary

ASX Limited ABN 98 008 624 691

20 Bridge Street Sydney NSW 2000

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

MARKET ANNOUNCEMENT

5 July 2017

ASX GROUP MONTHLY ACTIVITY REPORT – JUNE 2017

The value of ASX-listed stocks, as measured by the All Ordinaries Index, remained flat in June 2017. This was in contrast to most major markets, including Japan up 1.9%, Singapore up 0.5%, the US up 0.5%, and Hong Kong up 0.4%. Germany was down 3.0% and the UK down 2.8%.

Volatility measures for the Australian equity market increased during June:

• Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.7% in June, up on the previous month (0.4%).

• Expected future volatility (as measured by the S&P/ASX 200 VIX) in June was an average of 12.7 (compared to 12.2 in May).

LISTINGS AND CAPITAL RAISINGS

• In June 2017, total capital raised was $3.5 billion, up 26% on the previous corresponding period (pcp).

Listings and Capital Raisings

June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016

New listed entities admitted 15 11 152 124 De-listings 7 13 117 140 Total listed entities (at end of month) 2,239 2,204 Change on pcp 2% Initial capital raised ($million) 975 959 14,652 23,587 Change on pcp 2% -38% Secondary capital raised ($million) 1,613 1,726 37,160 45,299 Other capital raised including scrip-for-scrip ($million) 954 126 4,156 9,704 Total secondary capital raised ($million) 2,567 1,852 41,316 55,003 Change on pcp 39% -25% Total capital raised including other ($million) 3,542 2,811 55,968 78,590 Change onpcp 26% -29%

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

• In June 2017, the average daily number of trades was 12% higher than the pcp. The average daily value traded on-market of $4.8 billion was up 8% on the pcp.

Cash Markets

June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016

Total trading days (Cash market includes equity, warrant and interest rate market transactions) 21 21 253 254 Cash market volume Total trades 25,079,005 22,321,943 266,433,389 235,922,576 Change on pcp 12% 13% Average daily trades 1,194,238 1,062,950 1,053,096 928,829 Change on pcp 12% 13% Cash market value Open trading ($billion) 64.904 65.927 735.447 770.805 Auctions trading ($billion) 26.599 19.810 236.983 209.412 Centre Point ($billion) 9.829 8.433 107.043 78.941 Trade reporting ($billion) 18.102 11.663 167.377 144.991 Total value ($billion) 119.434 105.833 1,246.850 1,204.149 Change on pcp 13% 4% Average daily value on-market ($billion) 4.825 4.484 4.267 4.170 Change on pcp 8% 2% Average daily value ($billion) 5.687 5.040 4.928 4.741 Change on pcp 13% 4% Average value per trade ($) 4,762 4,741 4,680 5,104 Change on pcp 0% -8% Non-billable value (above cap) ($billion) 4.074 1.240 21.458 14.987 Total billable value ($billion) 115.360 104.593 1,225.392 1,189.162 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 June 2017, average daily futures and options on futures volumes were a record at 819,424, up 8%

on the pcp. Average daily futures volume was up 9% and average daily options volume was down 52% on the pcp.

Futures

June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016

Futures and options total trading days (includes interest rate, ASX SPI 200, commodities and energy contracts) 22 22 256 257 Futures volume Total contracts 17,941,120 16,441,909 141,074,857 134,831,773 Change on pcp 9% 5% Average daily contracts 815,505 747,360 551,074 524,637 Options on futures volume Total contracts 86,213 181,305 1,343,305 1,991,346 Change on pcp -52% -33% Average daily contracts 3,919 8,241 5,247 7,748 Total futures and options on futures volume Total contracts 18,027,333 16,623,214 142,418,162 136,823,119 Change on pcp 8% 4% Average daily contracts 819,424 755,601 556,321 532,386 Change onpcp 8% 4%

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlyFuturesMarketsReport170630.pdf

CLEARING – OTC MARKETS

• In June 2017, the notional value of OTC interest rate derivative contracts centrally cleared was $520 billion, compared to $644 billion in the pcp.

OTC Markets	June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016
Total notional cleared value ($billion) 519.834 644.460 5,165.949 2,742.002 Open notional cleared value ($billion) (at end of month) * Cleared notional value is double sided 2,924.287

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TRADING – EQUITY OPTIONS

• In June 2017, the average daily number of exchange-traded options was up 6% on the pcp. Single stock options average daily contracts traded were up 14% on the pcp and index options average daily contracts traded were down 35% on the pcp.

Equity Options

June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016

Exchange-traded options total trading days (includes single stock equity options and index options) 21 21 253 254 Single stock equity options volume Total contracts 8,349,917 7,296,949 93,294,961 88,701,251 Change on pcp 14% 5% Average daily contracts 397,615 347,474 368,755 349,218 Index options volume Total contracts 958,673 1,483,409 10,388,100 12,768,310 Change on pcp -35% -19% Average daily contracts 45,651 70,639 41,060 50,269 Total options volume Total contracts 9,308,590 8,780,358 103,683,061 101,469,561 Change on pcp 6% 2% Average daily contracts 443,266 418,112 409,814 399,486 Change onpcp 6% 3%

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CLEARING – EXCHANGE-TRADED MARKETS

• Participant margin balances held on balance sheet at month-end totalled $7.9 billion in June 2017 compared to $5.9 billion in June 2016.

ASX Clearing Corporation Collateral Balances – At End of Month	June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016
Cash margins held on balance sheet: - ASX Clear ($billion) 0.7 0.8 - ASX Clear (Futures) ($billion) 7.0 4.9 Cash equivalents held on balance sheet – ASX Clear (Futures) ($billion) 0.2 0.2 Collateral cash cover held off balance sheet (equities and guarantees) – ASX Clear ($billion) 3.4 3.4 Total billable cash market value cleared($billion) 112.925 102.365 1,204.714 1,160.637

SETTLEMENT

• The value of securities held in CHESS was 13% higher than the pcp. The number of dominant settlement messages in June 2017 was 5% lower than the pcp.

• The value of securities held in Austraclear was 2% lower than the pcp.

ASX Settlement	June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016
Value of CHESS holdings – period end ($billion) 1,805.0 1,596.8 Dominant settlement messages(million) 1.5 1.5 17.8 17.1
Austraclear Settlement and Depository
Austraclear securities holdings – period end ($billion) 1,860.3 1,895.6

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LISTINGS COMPLIANCE ACTIVITY

Listing Compliance Activity	June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016
Total company announcements 9,243 8,877 123,705 122,313 Price queries by ASX ¹ 16 43 310 377 Other continuous disclosure queries by ASX ² 21 24 272 302 Aware letters sent by ASX ³ 9 9 95 103 Announcements made following a price query 6 29 203 283 Number of trading halts 112 136 1,449 1,359 Number of suspensions 44 43 459 458

PARTICIPANTS

• During the month of June, Investment Administration Services Pty Ltd was admitted as a General Settlement Participant. Hyena Pty Limited resigned as an ASX Futures Participant.

ASX Market Participants⁴	June 2017 Month June 2016 Month
New admissions 1 1 Resignations and removals 0 1 Market/Clearing/Settlement Participants at month end 122 120
ASX Futures Participants
New admissions 0 1 Resignations and removals 1 1 Trading/ClearingParticipants at month end 51 51

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 June 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	June 2017 Month June 2016 Month Financial Year 2017 Financial Year 2016
Continuous disclosure referrals 1 0 24 23 Other referrals 1 0 5 11 Total referrals to ASIC 2 0 29 34

Enforcement Matters	June 2017 Month June 2016 Month
Open ASX enforcement matters at month start 5 0 New enforcement matters commenced during the month 0 0 Enforcement matters concluded during the month 0 0 Open ASX enforcement matters at month end 5 0 Fines imposed duringthe month($excludingGST) Nil Nil

ASX RULE CHANGES, WAIVERS AND EXEMPTIONS

• Details of rule and guidance note changes can be accessed 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 required, 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 June 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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