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IMMUTEP LIMITED — Major Shareholding Notification 2024
Oct 20, 2024
65122_rns_2024-10-20_7f84cb94-12b0-42e4-8ca9-09cfbbe03d21.pdf
Major Shareholding Notification
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605 Page 1 of 3
Form 605
Corporations Act 2001 Section 671B
Notice of ceasing to be a substantial holder
To Company Name/Scheme IMMUTEP LTD ACN/ARSN/ ABN 90 009 237 889
1. Details of substantial holder (1)
Name JPMorgan Chase & Co. and its affiliates ACN/ARSN (if applicable) NA
The holder ceased to be a substantial holder on
The previous notice was given to the company on
The previous notice was dated
17/October/2024 17/October/2024
15/October/2024
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) 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 change |
Person whose relevant interest changed |
Nature of change (4) | Consideration given in relation to change (5) |
Class (6) and number of securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| See Appendix |
JPMORGAN CHASE BANK, N.A. |
Securities on Loan as Agent Lender | See Appendix | 201,666 (Ordinary) |
201,666 (Ordinary) |
| See Appendix |
J.P. MORGAN SECURITIES LLC |
Holder of securities subject to an obligation to return under a securities lending agreement |
See Appendix | 49,240 (Ordinary) |
49,240 (Ordinary) |
| See Appendix |
J.P. MORGAN SECURITIES LLC |
Rehypothecation of client securities under a Prime Brokerage Agreement |
See Appendix | 708,820 (Ordinary) |
708,820 (Ordinary) |
| See Appendix |
J.P. MORGAN SECURITIES AUSTRALIA LIMITED |
Purchase and sales of securities in its capacity as Principal/Proprietary |
See Appendix | 5,699 (Ordinary) |
5,699 (Ordinary) |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
| J.P. MORGAN SECURITIES AUSTRALIA LIMITED | Subsidiary of JPMorgan Chase & Co. |
| J.P. MORGAN SECURITIES LLC | Subsidiary of JPMorgan Chase & Co. |
| JPMORGAN CHASE BANK, N.A. | Subsidiary of JPMorgan Chase & Co. |
4. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| JPMorgan Chase & Co. | 383 Madison Avenue, New York, New York, NY, 10179, United States |
| J.P. MORGAN SECURITIES AUSTRALIA LIMITED | LEVEL 18, 83-85 CASTLEREAGH STREET, SYDNEY, NSW 2000, Australia |
| J.P. MORGANSECURITIESLLC | 383Madison Ave.,New York,New York,NY,10179, United States |
| JPMORGAN CHASE BANK, N.A. | 1111 Polaris Parkway, Columbus, Delaware, OH, 43240, United States |
605 Page 2 of 3
Signature
| Print name Sign here |
Lokesh Kumar Capacity Compliance Officer |
|---|---|
| Date 21/October/2024 |
|
605 Page 3 of 3
DIRECTIONS
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(1) If there are a number of substantial holders with similar or related relevant interests (e.g. 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 4 of the form.
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(2) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001.
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(3) See the definition of "associate" in section 9 of the Corporations Act 2001.
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(4) Include details of:
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(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
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(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.
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(5) 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, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional n 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.
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(6) T he voting shares of a company constitute one class unless divided into separate classes.
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(7) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice.
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TRADES FOR RELEVANT PERIOD Appendix
Transaction Date Entity Product Type Type of Transaction Quantity Price (AUD) Consideration
Balance at start of relevant period 72,896,535
16-Oct-24 J.P. MORGAN SECURITIES AUSTRALIA LIMITED Equity Buy 12,247 0.32 $ 3,857.81
16-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt Borrow Return (72,000) - $ -
16-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt Borrow 98,000 - $ -
16-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt Borrow 38,000 - $ -
16-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt Borrow Return (60,760) - $ -
16-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt Borrow 33,000 - $ -
16-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt Borrow 28,000 - $ -
16-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt Borrow Return (15,000) - $ -
16-Oct-24 J.P. MORGAN SECURITIES AUSTRALIA LIMITED Equity Buy 1,822 0.32 $ 573.93
16-Oct-24 J.P. MORGAN SECURITIES AUSTRALIA LIMITED Equity Sell (7,635) 0.32 $ 2,405.03
16-Oct-24 JPMORGAN CHASE BANK, N.A. Equity Borrow Return (201,245) - $ -
16-Oct-24 JPMORGAN CHASE BANK, N.A. Equity Borrow Return (100,801) - $ -
16-Oct-24 JPMORGAN CHASE BANK, N.A. Equity Borrow 100,380 - $ -
17-Oct-24 J.P. MORGAN SECURITIES LLC Depository Receipt On-Lend Return (708,820) - $ -
17-Oct-24 J.P. MORGAN SECURITIES AUSTRALIA LIMITED Equity Sell (735) 0.31 $ 224.18
Balance at end of relevant period 72,040,988
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1/1
Appendix: Prescribed information pursuant to securities lending arrangement disclosed under the substantial shareholding notice filed with ASX.
| shareholding notice | filed with ASX. |
|---|---|
| Date: | 21-Oct-2024 |
| Company’s name: | IMMUTEP LTD |
| ISIN: | AU000000IMM6 |
| Date of change of relevant interests: |
17-Oct-2024 |
| Schedule | |
| Type of agreement | Global Master Securities Lending Agreement ("GMSLA") |
| Parties to agreement |
JPMorgan Chase Bank, N.A. (acting as agent) (“lender”) and BNP Paribas Financial Markets (Borrower) |
| Transfer date | Settlement Date 19-Sep-2024 25-Sep-2024 30-Sep-2024 01-Oct-2024 04-Oct-2024 07-Oct-2024 15-Oct-2024 16-Oct-2024 |
| Holder of voting rights |
Borrower |
| Are there any restriction on voting rights |
Yes |
| If yes, detail | The borrower undertakes to use its best endeavors to arrange for the voting rights to be exercised in accordance with the instructions of the lender, provided that the lender uses its best endeavors to notify the borrower of its instructions in writing no later than 7 business days prior to the date upon which such votes are exercisable or as otherwise agreed between the parties. This undertaking is set out in clause 6.6 of the standard form GMSLA. |
| Scheduled return date(if any) |
None |
| Does the borrower have the right to **return early? ** |
Yes |
| If yes, detail | Borrower has right to return all and any equivalent securities early at any time in accordance with the lender's instructions. |
| Does the lender have the right to **recall early? ** |
Yes |
| If yes, detail | Lender has right to recall all or any equivalent securities at any time by giving notice on any business day of not less than the standard settlement time for such equivalent securities on the exchange or in the clearing organisation through which the relevant borrowed securities were originally delivered (and where there is a difference between the settlement time for sales and purchases on the relevant exchange or clearing organisation, the standard settlement time shall be the shorter of the two times). The borrower must return the securities not later than the expiry of such notice in accordance with the lender's instructions. |
| Will the securities be returned on settlement? |
Yes |
| If yes, detail any exceptions |
No exceptions |
| Statement | If requested by the company to whom the prescribed form must be given, or if requested by ASIC, a copy of the agreement will begiven to that companyor ASIC. |
Appendix: Prescribed information pursuant to securities lending arrangement disclosed under the substantial shareholding notice filed with ASX.
| Date: | 21-Oct-2024 |
|---|---|
| Company’s name: | IMMUTEP LTD |
| ISIN: | AU000000IMM6 |
| Date of change of relevant interests: |
17-Oct-2024 |
| Schedule | |
| Type of agreement | Global Master Securities Lending Agreement ("GMSLA") |
| Parties to agreement |
JPMorgan Chase Bank, N.A. (acting as agent) (“lender”) and Merrill Lynch International(Borrower) |
| Transfer date | Settlement Date 15-Jul-2024 18-Jul-2024 |
| Holder of voting rights |
Borrower |
| Are there any restriction on voting rights |
Yes |
| If yes, detail | The borrower undertakes to use its best endeavors to arrange for the voting rights to be exercised in accordance with the instructions of the lender, provided that the lender uses its best endeavors to notify the borrower of its instructions in writing no later than 7 business days prior to the date upon which such votes are exercisable or as otherwise agreed between the parties. This undertaking is set out in clause 6.6 of the standard form GMSLA. |
| Scheduled return date(if any) |
None |
| Does the borrower have the right to **return early? ** |
Yes |
| If yes, detail | Borrower has right to return all and any equivalent securities early at any time in accordance with the lender's instructions. |
| Does the lender have the right to **recall early? ** |
Yes |
| If yes, detail | Lender has right to recall all or any equivalent securities at any time by giving notice on any business day of not less than the standard settlement time for such equivalent securities on the exchange or in the clearing organisation through which the relevant borrowed securities were originally delivered (and where there is a difference between the settlement time for sales and purchases on the relevant exchange or clearing organisation, the standard settlement time shall be the shorter of the two times). The borrower must return the securities not later than the expiry of such notice in accordance with the lender's instructions. |
| Will the securities be returned on settlement? |
Yes |
| If yes, detail any exceptions |
No exceptions |
| Statement | If requested by the company to whom the prescribed form must be given, or if requested by ASIC, a copy of the agreement will begiven to that companyor ASIC. |
Appendix: Prescribed information pursuant to securities lending transaction disclosed under the substantial shareholding notice filed with ASX.
| Date: | 21-Oct-2024 |
|---|---|
| Company’s name: | IMMUTEP LTD |
| ISIN: | AU000000IMM6 |
| Date of change of relevant interests: |
17-Oct-2024 |
| Schedule | |
| Type of agreement | Australian Master Securities LendingAgreement("AMSLA") |
| Parties to agreement | Citibank N.A. as agent (“lender”), J.P. Morgan Securities Australia Limited (“borrower”) |
| Transfer date | Settlement Date 20-Feb-2024 09-May-2024 12-Jun-2024 26-Jul-2024 |
| Holder of voting rights | Borrower |
| Are there any restriction on voting rights |
Yes |
| If yes, detail | The borrower undertakes to use its best endeavours to arrange for the voting rights to be exercised in accordance with the instructions of the lender, provided that the lender uses its best endeavours to notify the borrower of its instructions in writing no later than 7 business days prior to the date upon which such votes are exercisable or as otherwise agreed between the parties. This undertaking is set out in clause 4.3 of the standard form AMSLA |
| Scheduled return date (if any) |
None |
| Does the borrower have **the right to return early? ** |
Yes |
| If yes, detail | Borrower has right to return all and any securities or equivalent securities early at any time in accordance with the lender’s instructions. |
| Does the lender have the right to recall early? |
Yes |
| If yes, detail | Lender has right to recall all or any equivalent securities on any business day by giving such notice as agreed by the parties. The borrower must return the securities not later than the expiry of such notice in accordance with the lender’s instructions. |
| Will the securities be returned on settlement? |
Yes |
| If yes, detail any exceptions |
No exceptions |
| Statement | If requested by the company to whom the prescribed form must be given, or if requested by ASIC, a copy of the agreement will be given to that company or ASIC. |
Appendix: Prescribed information pursuant to securities lending transaction disclosed under the substantial shareholding notice filed with ASX.
| Date: | 21-Oct-2024 |
|---|---|
| Company’s name: | IMMUTEP LTD |
| ISIN: | AU000000IMM6 |
| Date of change of relevant interests: |
17-Oct-2024 |
| Schedule | |
| Type of agreement | Global Master Securities Lending Agreement ("GMSLA") |
| Parties to agreement | State Street Bank and Trust Company ("lender") and J.P. Morgan Securities Australia Limited ("borrower") |
| Transfer date | Settlement Date 24-Sep-2024 |
| Holder of voting rights | Borrower |
| Are there any restriction on voting rights |
Yes |
| If yes, detail | The borrower shall have no obligation to arrange for voting rights to be exercised in accordance with the instructions of the otherparty, unless otherwise agreed between theparties. |
| Scheduled return date (if any) |
None |
| Does the borrower have the right to return early? |
Yes |
| If yes, detail | Borrower has the right to terminate a loan and redeliver all and any equivalent securities due and outstanding to the lender in accordance with lender's instructions and lender shall accept such redelivery. |
| Does the lender have the **right to recall early? ** |
Yes |
| If yes, detail | Lender has right to recall all or any equivalent securities on any business day by giving such notice as agreed by the parties. The borrower must return the securities not later than the expiry of such notice in accordance with the lender’s instructions. |
| Will the securities be returned on settlement? |
Yes |
| If yes, detail any exceptions |
No exceptions |
| Statement | If requested by the company to whom the prescribed form must be given, or if requested by ASIC, a copy of the agreement will be given to that company or ASIC. |
Appendix: Prescribed information pursuant to securities lending transaction disclosed under the substantial shareholding notice filed with ASX.
| **Date: ** | 21-Oct-2024 |
|---|---|
| Company’s name: | IMMUTEP LTD |
| ISIN: | AU000000IMM6 |
| Date of change of relevant interests: |
17-Oct-2024 |
| Schedule | |
| Type of agreement | Overseas Securities Lender's Agreement ("OSLA") |
| Parties to agreement | J.P. Morgan Securities Plc ("borrower") and Citibank N.A. acting as Agent ("lender") |
| Transfer date | Settlement Date 12-Jun-2024 25-Jun-2024 30-Aug-2024 |
| Holder of voting rights | Borrower |
| Are there any restriction on voting rights |
Yes |
| If yes, detail | The borrower undertakes to use its best endeavours to arrange for the voting rights to be exercised in accordance with the instructions of the lender, provided that the lender uses its best endeavours to notify the borrower of its instructions in writing no later than 7 business days prior to the date upon which such votes are exercisable or as otherwise agreed between the parties. This undertaking is set out in clause 4(B)(vi) of the standard form OSLA. |
| Scheduled return date (if any) |
None |
| Does the borrower have the right to return early? |
Yes |
| If yes, detail | Borrower has right to return all and any equivalent securities early at any time in accordance with the lender’s instructions. |
| Does the lender have the right to recall early? |
Yes |
| If yes, detail | Lender has right to recall all or any equivalent securities at any time by giving notice on any business day of not less than the standard settlement time for such equivalent securities on the exchange or in the clearing organisation through which the relevant borrowed securities were originally delivered. The borrower must return the securities not later than the expiry of such notice in accordance with the lender’s instructions. |
|---|---|
| Will the securities be returned on settlement? |
Yes |
| If yes, detail any exceptions |
No exceptions |
| Statement | If requested by the company to whom the prescribed form must be given, or if requested by ASIC, a copy of the agreement will be given to that company or ASIC. |
Appendix: Prescribed information pursuant to securities lending transaction disclosed under the substantial shareholding notice filed with ASX.
| Date: | 21-Oct-2024 |
|---|---|
| Company’s name: | IMMUTEP LTD |
| ISIN: | AU000000IMM6 |
| Date of change of relevant interests: |
17-Oct-2024 |
| Schedule | |
| Type of agreement | Institutional Account Agreement |
| Parties to agreement |
JP Morgan Securities LLC for itself and as agent and trustee for the other J.P. Morgan Entities and APEX CLEARING CORPORATION, CHARLES SCHWAB & CO., INC, CITIBANK NA-AS AGENT, Blackrock, FUTU CLEARING INC, HILLTOP SECURITIES INC., INTERACTIVE BROKERS LLC, NATIONAL FINANCIAL SERVICES LLC, NATIONAL FINANCIAL SERVICES LLC - AS AGENT, ROBINHOOD SECURITIES, LLC, STIFEL, NICOLAUS & COMPANY, INCORPORATED, THE BANK OF NEW YORK MELLON (AS AGT), TRADESTATION SECURITIES INC, WEDBUSH SECURITIES INC and WELLS FARGO SECURITIES, LLC(herein referred to as“JPMS”). “ J.P. Morgan Entities” means, as the context may require or permit, any and all of JPMSL, JPMorgan Chase Bank, N.A., J.P. Morgan Securities LLC., J.P. Morgan Markets Limited, J.P. Morgan Securities Australia Limited, J.P. Morgan Securities (Asia Pacific) Limited, J.P. Morgan Securities Japan Co., Ltd and J.P. Morgan Prime Nominees Limited and anyadditional entitynotified to the Companyfrom time to time. |
| Transfer date | Settlement Date 22-Apr-2024 29-Apr-2024 30-Apr-2024 01-May-2024 02-May-2024 03-May-2024 07-May-2024 08-May-2024 09-May-2024 10-May-2024 13-May-2024 15-May-2024 16-May-2024 17-May-2024 20-May-2024 21-May-2024 22-May-2024 23-May-2024 24-May-2024 28-May-2024 29-May-2024 30-May-2024 05-Jun-2024 06-Jun-2024 07-Jun-2024 11-Jun-2024 12-Jun-2024 13-Jun-2024 14-Jun-2024 21-Jun-2024 |
| 24-Jun-2024 26-Jun-2024 28-Jun-2024 02-Jul-2024 03-Jul-2024 10-Jul-2024 11-Jul-2024 15-Jul-2024 16-Jul-2024 17-Jul-2024 19-Jul-2024 25-Jul-2024 26-Jul-2024 29-Jul-2024 02-Aug-2024 06-Aug-2024 07-Aug-2024 09-Aug-2024 15-Aug-2024 16-Aug-2024 22-Aug-2024 23-Aug-2024 29-Aug-2024 03-Sep-2024 06-Sep-2024 20-Sep-2024 23-Sep-2024 24-Sep-2024 25-Sep-2024 26-Sep-2024 30-Sep-2024 02-Oct-2024 03-Oct-2024 04-Oct-2024 07-Oct-2024 08-Oct-2024 09-Oct-2024 10-Oct-2024 11-Oct-2024 15-Oct-2024 16-Oct-2024 |
|
|---|---|
| Holder of voting rights |
JPMS is the holder of the voting rights from the time at which it exercises its right to borrow. Notwithstanding this, please note that the Company has the right to recall equivalent securities if it wishes to exercise its votingrights in respect of the securities. |
| Are there any restriction on voting rights |
Yes |
| If yes, detail | JPMS will not be able to exercise voting rights in circumstances where the Company has recalled equivalent securities from JPMS before the voting rights have been exercised. In these circumstances, JPMS must return the securities to the Companyand the Companyholds the votingrights. |
| Scheduled return date(if any) |
N/A. There is no term to the loan of securities. |
|---|---|
| Does the borrower have the right to **return early? ** |
Yes. |
| If yes, detail | JPMS has the right to return all and any securities or equivalent securities early at any time. |
| Does the lender have the right to **recall early? ** |
Yes. |
| Ifyes, detail | The Companyhas the right to recall all or anyequivalent securities on demand. |
| Will the securities be returned on settlement? |
Yes. Settlement of the loan will occur when JPMS returns equivalent securities to the Company. There is no term to the loan of securities. |
| If yes, detail any exceptions |
|
| Statement | If requested by the company to whom the prescribed form must be given, or if requested by ASIC, a copyof the agreement will begiven to that companyor ASIC. |