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IMMUTEP LIMITED Major Shareholding Notification 2021

Jan 3, 2021

65122_rns_2021-01-03_31112f60-87b5-4608-86b8-c0f079255a71.pdf

Major Shareholding Notification

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604 page 1/2 15 July 2001

BlackRock’s previous disclosures filed on 24, 29, and 30
December 2020 were incorrect as it had been calculating		 BlackRock’s previous disclosures filed on 24, 29, and 30
December 2020 were incorrect as it had been calculating		 BlackRock’s previous disclosures filed on 24, 29, and 30
December 2020 were incorrect as it had been calculating		 Form 604 Form 604
ts holdings using an incorrect ADR ratio of 1:100 instead
f 1:10. BlackRock, Inc. was not a Substantial Shareholder		 Corporations Act 2001
f Immutep Ltd at any time in December 2020. Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme
IMMUTEP LTD
ACN/ARSN
009 237 889
1. Details of substantial holder(1)
Name
BlackRock Group (BlackRock		 Inc. and subsidiaries named in Annexures
ACN/ARSN (if applicable)
to this form)
There was a change in the interests of the
substantial holder on 31 / /
12		 2020
The previous notice was given to the company on 30 / /
12		 2020
The previous notice was dated 28 / /
12		 2020
2.
Previous and present 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 when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:
Class of securities (4) Previous notice Present notice
Person's votes Voting power (5) Person's votes Voting power (5)
ADR 10:1 51,083,169 7.88 4,575,169 0.70
3. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate 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
Person whose		 Nature of Consideration Class and Person's votes
change
relevant interest		 change (6) given in relation number of affected
changed to change (7) securities
affected
See Annexure A & D
4.
Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of
Registered		 Person entitled Nature of Class and Person's votes
relevant
holder of		 to be registered relevant number of
interest
securities		 as holder (8) interest (6) securities
See Annexure B
BlackRock’s previous disclosures filed on 24, 29, and 30
December 2020 were incorrect as it had been calculating		 BlackRock’s previous disclosures filed on 24, 29, and 30
December 2020 were incorrect as it had been calculating		 BlackRock’s previous disclosures filed on 24, 29, and 30
December 2020 were incorrect as it had been calculating		 Form 604 Form 604
ts holdings using an incorrect ADR ratio of 1:100 instead
f 1:10. BlackRock, Inc. was not a Substantial Shareholder		 Corporations Act 2001
f Immutep Ltd at any time in December 2020. Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme
IMMUTEP LTD
ACN/ARSN
009 237 889
1. Details of substantial holder(1)
Name
BlackRock Group (BlackRock		 Inc. and subsidiaries named in Annexures
ACN/ARSN (if applicable)
to this form)
There was a change in the interests of the
substantial holder on 31 / /
12		 2020
The previous notice was given to the company on 30 / /
12		 2020
The previous notice was dated 28 / /
12		 2020
2.
Previous and present 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 when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:
Class of securities (4) Previous notice Present notice
Person's votes Voting power (5) Person's votes Voting power (5)
ADR 10:1 51,083,169 7.88 4,575,169 0.70
3. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate 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
Person whose		 Nature of Consideration Class and Person's votes
change
relevant interest		 change (6) given in relation number of affected
changed to change (7) securities
affected
See Annexure A & D
4.
Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of
Registered		 Person entitled Nature of Class and Person's votes
relevant
holder of		 to be registered relevant number of
interest
securities		 as holder (8) interest (6) securities
See Annexure B

BlackRock’s previous disclosures filed on 24, 29, and 30 December 2020 were incorrect as it had been calculating its holdings using an incorrect ADR ratio of 1:100 instead of 1:10. BlackRock, Inc. was not a Substantial Shareholder of Immutep Ltd at any time in December 2020.

604 page 2/2 15 July 2001

5. Changes in association

The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

==> picture [459 x 120] intentionally omitted <==

----- Start of picture text -----

Name and ACN/ARSN (if applicable) Nature of association
6. Addresses
The addresses of persons named in this form are as follows:
Name Address
Annexure C
----- End of picture text -----

Signature

print name Kayla Mulvihill capacity Authorised Signatory sign here* date 04 / 01 / 2021

  • At a meeting of the Board on 22 November 2013, the Directors resolved to approve the delegation of the preparation and lodgement of substantial shareholder notices on behalf of BlackRock Investment Management (Australia) Limited.

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 6 of the form.

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

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

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

  • (5) The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.

  • (6) 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.

  • (7) Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired has, or may, becom`e 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.

  • (8) If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write "unknown".

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

Annexure A

This is Annexure A of 3 pages referred to in form 604 Notice of change of interests of substantial shareholder

Kayla Mulvihill, Authorised Signatory

04-Jan-21 Date

5. Consideration

IMMUTEP LTD (IMM) IMMUTEP LTD (IMM)
Date of Change Person whose relevant interest
changed		 Nature of change
Consideration given in
change (7)		 (6) /
relation to		 CCY Class and number of
securities affected		 Person's
votes
affected
26-Aug-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -40,011 -400,110
27-Aug-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 39,954 399,542
28-Aug-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 54 544
28-Aug-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 1 10
Limited
31-Aug-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 40,009 400,090
31-Aug-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -40,009 -400,086
31-Aug-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -1 -10
Limited
01-Sep-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -40,009 -400,090
01-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 39,928 399,277
01-Sep-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 2
02-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -36,295 -362,947
02-Sep-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 -2
02-Sep-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 36,377 363,770
Limited
03-Sep-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 57 570
03-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 55,011 550,110
03-Sep-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -36,369 -363,690
Limited
04-Sep-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -57 -570
04-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -41,332 -413,318
04-Sep-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -8 -81
Limited
07-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -1 -12
08-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -3,599 -35,990
09-Sep-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 1 10
09-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -4,260 -42,600
09-Sep-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 1,347 13,468
09-Sep-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 112 1,121
Limited
10-Sep-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -1 -10
10-Sep-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -9,452 -94,520
10-Sep-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 -1,347 -13,468
10-Sep-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -112 -1,121
Limited
01-Oct-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 6,915 69,150
02-Oct-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -1 -10
02-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 1 10
05-Oct-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 12,192 121,920
05-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -1 -10
07-Oct-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -4,110 -41,100
07-Oct-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 4,109 41,090
Limited
08-Oct-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -14,996 -149,960
08-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 383 3,832
08-Oct-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 1
08-Oct-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 14,614 146,137
Limited
09-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -371 -3,705
09-Oct-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 1 11
09-Oct-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -18,723 -187,226
Limited

page 1 of 3

IMM

Date of Change Person whose relevant interest
changed		 Nature of change
Consideration given in
change (7)		 (6) /
relation to		 CCY Class and number of
securities affected		 Class and number of
securities affected		 Person's
votes
affected
12-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 19,093 190,933
12-Oct-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 -1 -12
12-Oct-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 0 -1
Limited
13-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -19,106 -191,060
13-Oct-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 19,105 191,050
Limited
14-Oct-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -19,105 -191,050
Limited
21-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 19,106 191,060
22-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -1 -10
23-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -19,105 -191,050
26-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 19,105 191,054
27-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -19,105 -191,054
28-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 19,106 191,060
29-Oct-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 16,006 160,060
29-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -19,106 -191,060
30-Oct-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -16,005 -160,050
30-Oct-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 3 29
30-Oct-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 1
30-Oct-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 7,702 77,020
Limited
02-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 3,705 37,050
02-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -3 -29
02-Nov-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 -1
02-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -7,702 -77,020
Limited
03-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -3,706 -37,060
09-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 27,994 279,940
Limited
10-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 27,993 279,930
10-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -27,992 -279,920
Limited
11-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -27,993 -279,930
11-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 27,995 279,950
11-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -2 -20
Limited
12-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 1 10
12-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -3 -27
13-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 26,337 263,370
13-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -27,992 -279,923
16-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -26,338 -263,380
16-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 24,338 243,380
17-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 1 10
17-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -900 -9,000
18-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 14,722 147,220
18-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -14,726 -147,263
18-Nov-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 1
18-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 4 40
Limited
19-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -14,723 -147,230
19-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 14,727 147,273
19-Nov-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 2
19-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -4 -40
Limited
20-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 3 30
20-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -16,519 -165,190
20-Nov-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 0 -2
20-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 16,513 165,128
Limited
23-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 23,435 234,350
23-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -6,919 -69,190
23-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -16,513 -165,128
Limited
24-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -23,436 -234,360
24-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 21,336 213,360
25-Nov-20 BlackRock Japan Co., Ltd. collateral transfer n/a USD ADR 10:1 -2 -20

page 2 of 3

IMM

Date of Change Person whose relevant interest
changed		 Nature of change
Consideration given in
change (7)		 (6) /
relation to		 CCY Class and number of
securities affected		 Class and number of
securities affected		 Person's
votes
affected
25-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 2 20
26-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 21,338 213,380
26-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -21,338 -213,380
27-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 1 10
27-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -1 -10
30-Nov-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -21,339 -213,390
30-Nov-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 1 10
30-Nov-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 21,338 213,380
Limited
01-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 8,202 82,017
01-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -8,202 -82,017
Limited
02-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 21,339 213,390
02-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -8,203 -82,027
02-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -13,136 -131,363
Limited
03-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -21,339 -213,390
03-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 6,380 63,805
03-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 14,959 149,585
Limited
04-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 37,799 377,993
04-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -14,959 -149,585
Limited
07-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 41,578 415,780
07-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -44,180 -441,798
08-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -41,577 -415,770
08-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 41,577 415,770
09-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 41,577 415,770
09-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -41,577 -415,770
10-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -41,578 -415,780
10-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 13,490 134,901
10-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 35,862 358,619
Limited
11-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -13,490 -134,901
11-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -1,709 -17,093
Limited
14-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -34,153 -341,527
Limited
16-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 51,542 515,415
Limited
17-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -51,542 -515,415
Limited
18-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 4,779 47,790
18-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 2 20
Limited
21-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -4,779 -47,790
21-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 85,444 854,440
Limited
22-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 260,422 2,604,220
Limited
23-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 30,664 306,640
23-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -422 -4,220
Limited
24-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -30,664 -306,640
24-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 83,317 833,170
28-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 64,628 646,281
28-Dec-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 21,385 213,847
28-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -3,944 -39,441
Limited
29-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 193,923 1,939,230
29-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 -147,945 -1,479,451
29-Dec-20 BlackRock Investment Management, LLC collateral transfer n/a USD ADR 10:1 -21,385 -213,847
29-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 -56 -559
Limited
30-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -48,400 -484,000
31-Dec-20 BlackRock Japan Co.,Ltd. collateral transfer n/a USD ADR 10:1 -97,075 -970,750
31-Dec-20 BlackRock Advisors(UK)Limited collateral transfer n/a USD ADR 10:1 4,404 44,040
31-Dec-20 BlackRock Investment Management (UK) collateral transfer n/a USD ADR 10:1 63,219 632,190
Limited

page 3 of 3

IMM

This is Annexure B of 1 pages referred to in form 604 Notice of change of interests of substantial shareholder

Annexure B

04-Jan-21 Kayla Mulvihill, Date Authorised Signatory

4. Details of present registered holders

Holder of Relevant
Interests		 Registered Holder of
Securities		 Person entitled to be
registered as holder (8)		 Nature of Relevant Interest (6) Class and number of
Securities		 Class and number of
Securities		 Person's
votes		 Nature of
Association
BlackRock Advisors (UK) STATE STREET BANK, Power to control the exercise of a right to vote attached to ADR 4,404 44,040 Subsidiary of
Limited MUNICH, ZURICH securities and/or the power to dispose of securities as 10:1 BlackRock, Inc.
BRANCH investment manager or trustee.
BlackRock Investment BNYM-BONY EUROPE Power to control the exercise of a right to vote attached to ADR 78,219 782,189 Subsidiary of
Management (UK) Limited securities and/or the power to dispose of securities as 10:1 BlackRock, Inc.
investment manager or trustee.
BlackRock Investment Northern Trust Power to control the exercise of a right to vote attached to ADR 326,446 3,264,460 Subsidiary of
Management (UK) Limited Luxembourg securities and/or the power to dispose of securities as 10:1 BlackRock, Inc.
investment manager or trustee.
BlackRock Japan Co., Ltd. JPM-JP MORGAN CHASE Power to control the exercise of a right to vote attached to ADR 48,448 484,480 Subsidiary of
securities and/or the power to dispose of securities as 10:1 BlackRock, Inc.
investment manager or trustee.

page 1 of 1

IMM

Annexure C

This is Annexure C of 1 page referred to in form 604 Notice of change of interests of substantial shareholder

04-Jan-21

Kayla Mulvihill, 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 604 Notice of change of interests of substantial shareholder

4-Jan-2021 Kayla Mulvihill, 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 A to form 604.
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 A to
form 604.
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.

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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

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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

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