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ENERO GROUP LIMITED Major Shareholding Notification 2024

Jan 31, 2024

64827_rns_2024-01-31_35929f19-1f91-4170-acc4-5c4193470cb1.pdf

Major Shareholding Notification

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Form 603

Corporations Act Section 671B Notice of initial substantial holder

To: Company Name/Scheme ENERO GROUP LTD

ACN/ ~~ARSN~~ 091 524 515

1. Details of substantial holder (1)

Name: Bank of America Corporation and its related bodies corporate (See Appendix C)

ACN/ARSN (if applicable) N/A

The holder became a substantial holder on: 30 January 2024

2. Details of voting power

The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in on the date the substantial holder became a substantial holder are as follows:

Class of securities (4) Number of securities Persons’ votes (5) Voting power (6)
Ordinary 5,385,167 5,385,167 5.90%

3. Details of relevant interests

The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:

Holder of relevant interest Nature of relevant interest (7) Class and number of securities
Merrill Lynch (Australia) Futures
Limited		 Power to control voting and/or disposal of
securities in its capacity as ultimate beneficial
owner having a principal position.		 Ordinary 875,885
Merrill Lynch Markets (Australia)
Pty. Limited		 Borrowing of securities pursuant to a Prime
Brokerage (see Appendix B), with power to control
the voting and/or disposal of borrowed securities.		 Ordinary 4,509,282

4. Details of present registered holders

The persons registered as holders of the securities referred to in paragraph 3 above are as follows:

Holder of relevant
interest		 Registered holder of
securities		 Person entitled to be
registered as holder (8)		 Class and number of
securities
Merrill Lynch (Australia)
Futures Limited		 Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch (Australia)
Futures Limited		 Ordinary 875,885
Merrill Lynch Markets
(Australia) Pty. Limited		 Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch Markets
(Australia) Pty. Limited		 Ordinary 4,509,282

5. Consideration

The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:

Holder of relevant interest Date of acquisition Consideration (9) Consideration (9) Class and number
of securities
Cash Non-cash
Please see Annexure A.

6. Associates

The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:

Name and ACN/ ARSN (if applicable) Nature of association
Merrill Lynch (Australia) Futures Limited Related body corporate
Merrill Lynch (Australia) Nominees Pty Ltd Related body corporate
Merrill Lynch Markets (Australia) Pty. Limited Related body corporate

7. Addresses

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

Name Addresses
Bank of America Corporation 100 North Tryon Street, Charlotte, North Carolina, 28255, USA
Merrill Lynch (Australia) Futures Limited Level 34, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000,Australia
Merrill Lynch (Australia) Nominees Pty Ltd Level 19, 120 Collins St, Melbourne Vic 3000, Australia
Merrill Lynch Markets (Australia) Pty. Limited Level 34, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000,Australia
Merrill Lynch International 2 King Edward Street, London, England, EC1A 1HQ, United
Kingdom

SIGNATURE

Print Name:
Sign Here:		 Kelvin Kwok
Capacity:
Authorised signatory
Date:
1 February 2024

Appendix A

Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's
votes
affected		 Remark
10/3/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (150,001) (150,001) Refer to App.
B
10/4/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (14,102) (14,102) Refer to App.
B
10/4/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (131,399) (131,399) Refer to App.
B
10/4/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 145,500 145,500 Refer to App.
B
10/9/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (145,500) (145,500) Refer to App.
B
10/9/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (65,994) (65,994) Refer to App.
B
10/9/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (4,252) (4,252) Refer to App.
B
10/10/2023 Merrill Lynch (Australia) Futures Limited SELL (547,574.64) Ordinary (341,168) (341,168) N/A
10/10/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (200,896) (200,896) Refer to App.
B
10/10/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 205,150 205,150 Refer to App.
B
10/12/2023 Merrill Lynch (Australia) Futures Limited SELL (976.37) Ordinary (599) (599) N/A
10/13/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (205,150) (205,150) Refer to App.
B
10/13/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (383,126) (383,126) Refer to App.
B
10/13/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (3,024,415) (3,024,415) Refer to App.
B
10/18/2023 Merrill Lynch (Australia) Futures Limited SELL (296.37) Ordinary (178) (178) N/A
10/18/2023 Merrill Lynch (Australia) Futures Limited SELL (1,053.36) Ordinary (627) (627) N/A
10/18/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 2,719,707 2,719,707 Refer to App.
B
10/19/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (402,212) (402,212) Refer to App.
B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's
votes
affected		 Remark
10/19/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 438,865 438,865 Refer to App.
B
10/23/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (93,130) (93,130) Refer to App.
B
10/23/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 293,129 293,129 Refer to App.
B
10/27/2023 Merrill Lynch (Australia) Futures Limited SELL (280.80) Ordinary (180) (180) N/A
10/27/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 767,593 767,593 Refer to App.
B
10/30/2023 Merrill Lynch (Australia) Futures Limited SELL (283.01) Ordinary (182) (182) N/A
10/30/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 366,413 366,413 Refer to App.
B
10/30/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (293,129) (293,129) Refer to App.
B
10/30/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (49,545) (49,545) Refer to App.
B
10/31/2023 Merrill Lynch (Australia) Futures Limited SELL (680.68) Ordinary (442) (442) N/A
10/31/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (174,845) (174,845) Refer to App.
B
11/1/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (121,345) (121,345) Refer to App.
B
11/1/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (43,112) (43,112) Refer to App.
B
11/1/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 164,456 164,456 Refer to App.
B
11/2/2023 Merrill Lynch (Australia) Futures Limited SELL (763.29) Ordinary (514) (514) N/A
11/3/2023 Merrill Lynch (Australia) Futures Limited SELL (714.00) Ordinary (476) (476) N/A
11/6/2023 Merrill Lynch (Australia) Futures Limited SELL (115,737.48) Ordinary (78,201) (78,201) N/A
11/6/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (164,456) (164,456) Refer to App.
B
11/6/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (185,234) (185,234) Refer to App.
B
11/7/2023 Merrill Lynch (Australia) Futures Limited SELL (611.82) Ordinary (412) (412) N/A
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's
votes
affected		 Remark
11/7/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (138,067) (138,067) Refer to App.
B
11/7/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (198,697) (198,697) Refer to App.
B
11/7/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 336,763 336,763 Refer to App.
B
11/10/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (336,763) (336,763) Refer to App.
B
11/10/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 998,135 998,135 Refer to App.
B
11/10/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (307,365) (307,365) Refer to App.
B
11/13/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (261,531) (261,531) Refer to App.
B
11/13/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (490,220) (490,220) Refer to App.
B
11/13/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 751,750 751,750 Refer to App.
B
11/14/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (430,755) (430,755) Refer to App.
B
11/14/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 751,750 751,750 Refer to App.
B
11/15/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 247,350 247,350 Refer to App.
B
11/15/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (77,160) (77,160) Refer to App.
B
11/15/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (70,190) (70,190) Refer to App.
B
11/16/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (150,351) (150,351) Refer to App.
B
11/16/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 150,350 150,350 Refer to App.
B
11/17/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 150,350 150,350 Refer to App.
B
11/20/2023 Merrill Lynch (Australia) Futures Limited SELL (369.15) Ordinary (230) (230) N/A
11/20/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (150,350) (150,350) Refer to App.
B
11/20/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (96,999) (96,999) Refer to App.
B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's
votes
affected		 Remark
11/20/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (142,483) (142,483) Refer to App.
B
11/20/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (150,350) (150,350) Refer to App.
B
11/21/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (343,781) (343,781) Refer to App.
B
11/21/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 343,555 343,555 Refer to App.
B
11/22/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (97,369) (97,369) Refer to App.
B
11/22/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 97,194 97,194 Refer to App.
B
11/24/2023 Merrill Lynch (Australia) Futures Limited BUY 5,930.13 Ordinary 3,861 3,861 N/A
11/24/2023 Merrill Lynch (Australia) Futures Limited SELL (6,138.99) Ordinary (3,861) (3,861) N/A
11/24/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (97,001) (97,001) Refer to App.
B
11/24/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 97,000 97,000 Refer to App.
B
11/27/2023 Merrill Lynch (Australia) Futures Limited BUY 933.77 Ordinary 597 597 N/A
11/27/2023 Merrill Lynch (Australia) Futures Limited SELL (949.23) Ordinary (597) (597) N/A
11/27/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (97,000) (97,000) Refer to App.
B
11/27/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (193) (193) Refer to App.
B
11/27/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (2,807) (2,807) Refer to App.
B
11/28/2023 Merrill Lynch (Australia) Futures Limited BUY 8,864.52 Ordinary 5,476 5,476 N/A
11/28/2023 Merrill Lynch (Australia) Futures Limited SELL (8,925.88) Ordinary (5,476) (5,476) N/A
11/28/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (95,120) (95,120) Refer to App.
B
11/28/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (147,381) (147,381) Refer to App.
B
11/28/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 242,500 242,500 Refer to App.
B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's
votes
affected		 Remark
11/29/2023 Merrill Lynch (Australia) Futures Limited SELL (648.69) Ordinary (397) (397) N/A
11/29/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 145,500 145,500 Refer to App.
B
11/29/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (145,501) (145,501) Refer to App.
B
11/30/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (50,673) (50,673) Refer to App.
B
11/30/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (94,828) (94,828) Refer to App.
B
11/30/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 145,500 145,500 Refer to App.
B
12/1/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 179,103 179,103 Refer to App.
B
12/4/2023 Merrill Lynch (Australia) Futures Limited SELL (518.40) Ordinary (324) (324) N/A
12/11/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (8,724) (8,724) Refer to App.
B
12/12/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (41,948) (41,948) Refer to App.
B
12/12/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (138,667) (138,667) Refer to App.
B
12/12/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 180,614 180,614 Refer to App.
B
12/13/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 174,600 174,600 Refer to App.
B
12/14/2023 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 348,625 348,625 Refer to App.
B
12/15/2023 Merrill Lynch (Australia) Futures Limited SELL (470.93) Ordinary (315) (315) N/A
12/18/2023 Merrill Lynch (Australia) Futures Limited SELL (449.98) Ordinary (302) (302) N/A
12/21/2023 Merrill Lynch (Australia) Futures Limited SELL (417.61) Ordinary (289) (289) N/A
12/27/2023 Merrill Lynch (Australia) Futures Limited SELL (432.18) Ordinary (295) (295) N/A
12/28/2023 Merrill Lynch (Australia) Futures Limited SELL (430.71) Ordinary (294) (294) N/A
01/08/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (4,938) (4,938) Refer to App.
B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's
votes
affected		 Remark
01/08/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (6,833) (6,833) Refer to App.
B
01/09/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (26,148) (26,148) Refer to App.
B
01/15/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (37,438) (37,438) Refer to App.
B
01/15/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (37,438) (37,438) Refer to App.
B
01/16/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (68,638) (68,638) Refer to App.
B
01/16/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (138,737) (138,737) Refer to App.
B
01/17/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 351,576 351,576 Refer to App.
B
01/19/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (728) (728) Refer to App.
B
01/22/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (39,638) (39,638) Refer to App.
B
01/22/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (45,706) (45,706) Refer to App.
B
01/22/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (134,908) (134,908) Refer to App.
B
01/22/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (56,121) (56,121) Refer to App.
B
01/22/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (242,500) (242,500) Refer to App.
B
01/23/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (37,938) (37,938) Refer to App.
B
01/23/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (195,837) (195,837) Refer to App.
B
01/24/2024 Merrill Lynch (Australia) Futures Limited SELL (217,518.61) Ordinary (133,447) (133,447) N/A
01/24/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (58,729) (58,729) Refer to App.
B
01/24/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (500,511) (500,511) Refer to App.
B
01/24/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (351,576) (351,576) Refer to App.
B
01/24/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 1,039,876 1,039,876 Refer to App.
B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's
votes
affected		 Remark
01/25/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (664,613) (664,613) Refer to App.
B
01/25/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 915,906 915,906 Refer to App.
B
01/25/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (251,239) (251,239) Refer to App.
B
01/29/2024 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities borrowed N/A Ordinary 900,618 900,618 Refer to App.
B

Appendix B-1: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Funds Management Pty Limited As
Trustee For Regal Tactical Opportunities Fund
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-2: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Funds Management Pty Limited As
Trustee For Regal Australian Active Extension Trust
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-3: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Funds Management Pty Limited As
Trustee For Regal Australian Small Companies Fund
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-4: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Funds Management Pty Limited As
Trustee Of Atlantic Absolute Return Fund
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-5: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Funds Management Pty Limited As
Trustee Of Regal Australian Long Short Equity Fund
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-6: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Funds Management Pty Limited As
Trustee For Regal Emerging Companies Fund III
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-7: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Funds Management Pty Limited As
Trustee Of Regal Emerging Companies Opportunities Fund
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-8: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Regal Investment Fund
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-9: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International and Susquehanna Pacific Pty Ltd
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote
on securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender
have the right to
recall early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix C

Appendix C
Related bodies corporate Incorporated **ACN/Registration/Incorporation Number **
Merrill Lynch (Australia) Futures Limited Australia 003639674
Merrill Lynch Markets (Australia) Pty. Limited Australia 075587816
Merrill Lynch (Australasia) Pty. Ltd Australia 075923894
Bank of America Global Holdings, LLC United States 5169939
BofAMLJerseyHoldingsLimited Jersey 115831
NB Holdings Corporation United States 2361372
Bankof America Corporation United States N/A628

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