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IMMUTEP LIMITED Major Shareholding Notification 2020

Dec 23, 2020

65122_rns_2020-12-23_d3979f92-d1d8-4ec9-9d36-7d70361af1b1.pdf

Major Shareholding Notification

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Annexure A

This is Annexure A of 1 page referred to in form 603 Notice of initial substantial shareholder

24-Dec-20

Haley Harris, Date Authorised Signatory

3. Details of Relevant Interests 4. Details of present registered holders 6. Associates

Holder of Relevant Interests Registered Holder of Person entitled to be Class and number of Person's Nature of Nature of Relevant Interest Name and ACN / ARSN (if Securities registered as holder Securities votes Association applicable) BlackRock Investment Power to control the exercise of a right to vote attached to Northern Trust Luxembourg ADR 345,868 34,586,800 subsidiary of Management (UK) Limited securities and/or the power to dispose of securities as 100:1 BlackRock Inc. investment manager or trustee.

page 1 of 1

IMM

Annexure B

This is Annexure B of 2 pages referred to in form 603 Notice of initial substantial shareholder

24-Dec-20

Haley Harris, Authorised Signatory

Date

5. Consideration

IMMUTEP LTD (IMM)

Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt		 Cash
Non-cash
CCY
Person's votes affected
Consideration
Class and number of
securities affected
BlackRock Advisors (UK) Limited
27-Aug-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 39,954
3,995,419
BlackRock Advisors (UK) Limited
28-Aug-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 54 5,441
BlackRock Investment Management (UK)
Limited
28-Aug-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 100
BlackRock Japan Co., Ltd.
31-Aug-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 40,009
4,000,900
BlackRock Advisors (UK) Limited
01-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 39,928
3,992,772
BlackRock Investment Management, LLC
01-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 0 24
BlackRock Investment Management (UK)
Limited
01-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 0 3
BlackRock Investment Management (UK)
Limited
02-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 36,377
3,637,697
BlackRock Japan Co., Ltd.
03-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 57 5,700
BlackRock Advisors (UK) Limited
03-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 55,011
5,501,100
BlackRock Japan Co., Ltd.
09-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 100
BlackRock Investment Management, LLC
09-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1,347 134,684
BlackRock Investment Management (UK)
Limited
09-Sep-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 112 11,206
BlackRock Japan Co., Ltd.
01-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 6,915 691,500
BlackRock Advisors (UK) Limited
02-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 100
BlackRock Japan Co., Ltd.
05-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 12,192
1,219,200
BlackRock Investment Management (UK)
Limited
07-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 4,109 410,900
BlackRock Advisors (UK) Limited
08-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 383 38,320
BlackRock Investment Management, LLC
08-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 0 8
BlackRock Investment Management (UK)
Limited
08-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 14,614
1,461,372
BlackRock Investment Management, LLC
09-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 113
BlackRock Advisors (UK) Limited
12-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 19,093
1,909,331
BlackRock Investment Management (UK)
Limited
13-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 19,105
1,910,500
BlackRock Advisors (UK) Limited
21-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 19,106
1,910,600
BlackRock Advisors (UK) Limited
26-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 19,105
1,910,543
BlackRock Advisors (UK) Limited
28-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 19,106
1,910,600
BlackRock Japan Co., Ltd.
29-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 16,006
1,600,600
BlackRock Advisors (UK) Limited
30-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 3 290
BlackRock Investment Management, LLC
30-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 0 10
BlackRock Investment Management (UK)
Limited
30-Oct-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 7,702 770,200
BlackRock Japan Co., Ltd.
02-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 3,705 370,500
BlackRock Investment Management (UK)
Limited
09-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 27,994
2,799,400
BlackRock Japan Co., Ltd.
10-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 27,993
2,799,300
BlackRock Advisors (UK) Limited
11-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 27,995
2,799,500
BlackRock Japan Co., Ltd.
12-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 100
BlackRock Japan Co., Ltd.
13-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 26,337
2,633,700
BlackRock Advisors (UK) Limited
16-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 24,338
2,433,800
BlackRock Japan Co., Ltd.
17-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 100

page 1 of 2

IMM

Holder of Relevant Interest
Date of Acquisition / Trans
on a prescribed fin'l mkt		 Cash
Non-cash
CCY
Person's votes affected
Consideration
Class and number of
securities affected
BlackRock Japan Co., Ltd.
18-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 14,722
1,472,200
BlackRock Investment Management, LLC
18-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 0 8
BlackRock Investment Management (UK)
Limited
18-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 4 400
BlackRock Advisors (UK) Limited
19-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 14,727
1,472,733
BlackRock Investment Management, LLC
19-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 0 16
BlackRock Japan Co., Ltd.
20-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 3 300
BlackRock Investment Management (UK)
Limited
20-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 16,513
1,651,282
BlackRock Japan Co., Ltd.
23-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 23,435
2,343,500
BlackRock Advisors (UK) Limited
24-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 21,336
2,133,600
BlackRock Advisors (UK) Limited
25-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 2 200
BlackRock Japan Co., Ltd.
26-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 21,338
2,133,800
BlackRock Japan Co., Ltd.
27-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 100
BlackRock Advisors (UK) Limited
30-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 1 100
BlackRock Investment Management (UK)
Limited
30-Nov-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 21,338
2,133,800
BlackRock Advisors (UK) Limited
01-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 8,202 820,169
BlackRock Japan Co., Ltd.
02-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 21,339
2,133,900
BlackRock Advisors (UK) Limited
03-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 6,380 638,049
BlackRock Investment Management (UK)
Limited
03-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 14,959
1,495,851
BlackRock Advisors (UK) Limited
04-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 37,799
3,779,928
BlackRock Japan Co., Ltd.
07-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 41,578
4,157,800
BlackRock Advisors (UK) Limited
08-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 41,577
4,157,700
BlackRock Japan Co., Ltd.
09-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 41,577
4,157,700
BlackRock Advisors (UK) Limited
10-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 13,490
1,349,006
BlackRock Investment Management (UK)
Limited
10-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 35,862
3,586,194
BlackRock Investment Management (UK)
Limited
16-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 51,542
5,154,152
BlackRock Advisors (UK) Limited
18-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 4,779 477,900
BlackRock Investment Management (UK)
Limited
18-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 2 200
BlackRock Investment Management (UK)
Limited
21-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 85,444
8,544,400
BlackRock Investment Management (UK)
Limited
22-Dec-20
no		 n/a
collateral
transfer
AUD
ADR 100:1 260,422 26,042,200

page 2 of 2

IMM

Annexure C

This is Annexure C of 1 page referred to in form 603 Notice of initial substantial shareholder

24-Dec-20

Haley Harris, Date Authorised Signatory

7. Addresses

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

Name Address
BlackRock Group
BlackRock Inc. 55 East 52nd Street
New York NY 10055 USA
BlackRock Advisors (UK) Limited 12 Throgmorton Avenue.
London, EC2N 2DL,
United Kingdom
BlackRock Investment Management (UK) Limited 12 Throgmorton Avenue
London EC2N 2DL
United Kingdom
BlackRock Investment Management, LLC 1209 Orange Street,
Wilmington, New Castle County,
Delaware 19801, United States
BlackRock Japan Co., Ltd. Marunouchi Trust Tower Main,
1-8-3 Marunouchi,
Chiyoda-ku, Tokyo 100-8217(Japan)

page 1 of 1

IMM

Annexure D

This is Annexure D of 3 pages referred to in form 603 Notice of initial substantial shareholder

24-Dec-20
Haley Harris, Authorised Signatory Date
Type of agreement: Global Master Securities Lending Agreement, Overseas
Securities Lending Agreement or Master Securities Lending
Agreement.
Parties to agreement: The relevant counterparty as described in the lists of Securities
Lending Agreements entered into by BlackRock Advisors
Limited and BlackRock Institutional Trust Corporation, N.A.,
respectively, on the following page.
Transfer date: The date of the relevant transaction identified as a collateral
transfer referred to in Annexure B
Holder of voting rights: The Borrower.
Are there any restrictions on voting rights?
If yes, detail		 Yes. Collateral is held through a tripartite structure under which
the triparty collateral manager will not act in respect of voting
rights unless it receives instructions to do so from the Borrower.
Scheduled return date (if any): The date of the relevant transaction referred to in Annexure B
Does the borrower have the right to return
early?
If yes, detail		 Yes.
The Borrower is entitled to substitute existing collateral with
other equities at any time.
Does the lender have the right to recall early?
If yes, detail		 Yes, at notice.
Will the securities be returned on settlement?
If yes, detail any exceptions		 Yes.

A copy of the relevant agreement will be provided to Immutep LTD or the Australian Securities and Investments Commission upon request.

IMM 1 | P a g e

Securities Lending Agreements

Agreements entered into between BlackRock Advisors Limited and each of the following counterparties:

  • (a) Bank of Nova Scotia, London Branch GMSLA, 25 August 2011

  • (b) Barclays Bank plc GMSLA, 9 April 2104

  • (c) Barclays Capital Securities Limited GMSLA, 2 December 2012

  • (d) BNP Paribas Arbitrage GMSLA, 30 May 2013

  • (e) BNP Paribas GMSLA, 8 May 2007

  • (f) Citigroup Global Markets Limited GMSLA, 18 January 2007

  • (g) Commerzbank AG OSLA, 17 July 2002

  • (h) Credit Suisse AG, Dublin Branch GMSLA, 28 September 2015

  • (i) Credit Suisse International GMSLA, 10 March 2014

  • (j) Credit Suisse Securities (Europe) Limited GMSLA, 26 August 2015

  • (k) Deutsche Bank AG, London Branch GMSLA, 25 August 2017

  • (l) Goldman Sachs International OSLA, 3 July 2001

  • (m) HSBC Bank plc GMSLA GMSLA, 27 October 2016

  • (n) ING Bank N.V. GMSLA, 12 November 2018 (not yet operationally active)

  • (o) J.P. Morgan Securities plc GMSLA, 12 July 2011 (p) Macquarie Bank Limited GMSLA, 18 August 2014

  • (q) Merrill Lynch International OSLA, 13 July 1999

  • (r) Morgan Stanley & Co International plc OSLA, 8 September 1999

  • (s) Natixis SA GMSLA, 29 January 2018

  • (t) Nomura International plc GMSLA, 2 November 2011

  • (u) Royal Bank of Canada Europe Limited GMSLA, 3 February 2017

  • (v) Royal Bank of Scotland plc (renamed to Natwest Markets Plc) GMSLA, 1 April 2011

  • (w) Santander UK Plc GMSLA, 25 January 2019 (not yet operationally active)

  • (x) Skandinaviska Enskilda Banken AB GMSLA, 4 February 2013

  • (y) Societe Generale GMSLA, 27 January 2012

  • (z) UBS AG GMSLA, 28 April 2016

  • (aa) UBS Europe SE GMSLA, 1 February 2019

  • (bb) BAL/Banco Santander, S.A. GMSLA, 30 April 2019

  • (cc) Canadian Imperial Bank of Commerce, London Branch GMSLA, 21 June 2019

  • (dd) Zürcher Kantonalbank GMSLA, 30 October 2019

Agreements entered into by BlackRock Institutional Trust Corporation, N.A. and each of the following counterparties:

  • (a) Bank of Nova Scotia GMSLA, December 6, 2016

  • (b) Barclays Bank plc GMSLA, April 24, 2017

  • (c) Barclays Capital Securities Limited GMSLA, March 15, 2017

  • (d) BNP Paribas Arbitrage GMSLA, June 5, 2017

  • (e) Citigroup Global Markets Limited GMSLA, June 3, 2015

  • (f) Credit Suisse AG, Dublin Branch GMSLA, October 14, 2015

  • (g) Credit Suisse Securities (Europe) Limited GMSLA, October 2, 2015

  • (h) Deutsche Bank AG, London Branch GMSLA, June 7, 2017

  • (i) Goldman Sachs International OSLA April 1, 2004

  • (j) HSBC Bank plc GMSLA, February 12, 2013

  • (k) J.P. Morgan Securities plc GMSLA, October 4, 2016

  • (l) Macquarie Bank Limited GMSLA, October 3, 2016

  • (m) Merrill Lynch International GMSLA, February 19, 2014

  • (n) Morgan Stanley & Co International plc OSLA, February 7, 2007

  • (o) Nomura International plc GMSLA 03 August 2018 – not yet operational

  • (p) Societe Generale GMSLA, September 28, 2016

  • (q) UBS AG GMSLA, May 26, 2016

  • (r) UBS Europe SE GMSLA, 1 February 2019

  • (s) The Hongkong and Shanghai Banking Corporation Limited GMSLA, 22 February 2019

  • (t) RBC Europe Limited GMSLA, 4 February 2019

  • (u) ING BANK N.V. GMSLA, 27 February, 2019

These counterparties do not pledge Australian equities: (a) Lloyds Bank plc

  • (b) Merrill Lynch, Pierce, Fenner Smith Incorporated

  • (c) Unicredit

IMM 2 | P a g e

These counterparties do not have any business with us anymore although may have done previously: (a) Morgan Stanley Securities Limited (No Business) OSLA 15 March 1999 Royal Bank of Scotland N.V. GMSLA, 12 October 2011 – No Business, superseded by Royal Bank of Scotland PLC

IMM 3 | P a g e

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