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NUIX LIMITED Major Shareholding Notification 2021

Mar 24, 2021

65464_rns_2021-03-24_1b8e52ee-b83e-44ea-b165-60b8e74eb441.pdf

Major Shareholding Notification

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Form 605

Corporations Act Section 671B

Notice of ceasing to be a substantial holder

To: Company Name/Scheme NUIX LIMITED

ACN/ ~~ARSN~~

117 140 235

1. Details of substantial holder (1)

Name

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

ACN/ARSN (if applicable):

The holder ceased to be a substantial shareholder on

22 March 2021

The previous notice was given to the company on

The previous notice was dated

22 March 2021 18 March 2021

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 w as last required to give a substantial holding notice to the company or scheme are as follow s:

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 A

3. Changes in association

The persons w ho have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) w ith, the substantial holder in relation to voting interests in the company or scheme are as follow s:

Name and ACN/ARSN (if applicable) Nature of association
N/A N/A

4. Addresses

The addresses of persons named in this form are as follow s:

Name Addresses
Bank of America Corporation 100 North Tryon Street, Charlotte, North Carolina, 28255, USA
Merrill Lynch (Australia) Futures Limited Level 34, Governor Phillip Tow er, 1 Farrer Place, Sydney NSW
2000, Australia
Merrill Lynch Markets (Australia) Pty. Limited Level 34, Governor Phillip Tow er, 1 Farrer Place, Sydney NSW
2000, Australia
Merrill Lynch International 2 King Edw ard Street, London, England, EC1A 1HQ, United
Kingdom

SIGNATURE

Print Name:
Sign Here:		 Kelvin Kw ok
Capacity:
Authorised signatory
Date:
24 March 2021

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
03/19/2021 Merrill Lynch International SELL (1,316) Ordinary (238) (238) N/A
03/19/2021 Merrill Lynch International SELL (3,539) Ordinary (640) (640) N/A
03/19/2021 Merrill Lynch International SELL (6) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (637) Ordinary (115) (115) N/A
03/19/2021 Merrill Lynch International SELL (6,137) Ordinary (1,124) (1,124) N/A
03/19/2021 Merrill Lynch International SELL (3,909) Ordinary (716) (716) N/A
03/19/2021 Merrill Lynch International SELL (1,087) Ordinary (199) (199) N/A
03/19/2021 Merrill Lynch International SELL (11,859) Ordinary (2,172) (2,172) N/A
03/19/2021 Merrill Lynch International SELL (1,895) Ordinary (347) (347) N/A
03/19/2021 Merrill Lynch International SELL (2,861) Ordinary (524) (524) N/A
03/19/2021 Merrill Lynch International SELL (3,008) Ordinary (552) (552) N/A
03/19/2021 Merrill Lynch International SELL (2,075) Ordinary (380) (380) N/A
03/19/2021 Merrill Lynch International SELL (7,791) Ordinary (1,427) (1,427) N/A
03/19/2021 Merrill Lynch International SELL (1,201) Ordinary (220) (220) N/A
03/19/2021 Merrill Lynch International SELL (71) Ordinary (13) (13) N/A
03/19/2021 Merrill Lynch International SELL (343) Ordinary (63) (63) N/A
03/19/2021 Merrill Lynch International SELL (609) Ordinary (112) (112) N/A
03/19/2021 Merrill Lynch International SELL (11,952) Ordinary (2,197) (2,197) N/A
03/19/2021 Merrill Lynch International SELL (381) Ordinary (70) (70) N/A
03/19/2021 Merrill Lynch International SELL (16) Ordinary (3) (3) N/A
03/19/2021 Merrill Lynch International SELL (299) Ordinary (55) (55) N/A
03/19/2021 Merrill Lynch International SELL (5,723) Ordinary (1,052) (1,052) N/A
03/19/2021 Merrill Lynch International SELL (4,253) Ordinary (769) (769) N/A
03/19/2021 Merrill Lynch International SELL (3,434) Ordinary (621) (621) N/A
03/19/2021 Merrill Lynch International SELL (907) Ordinary (164) (164) N/A
03/19/2021 Merrill Lynch International SELL (2,616) Ordinary (473) (473) N/A
03/19/2021 Merrill Lynch International SELL (675) Ordinary (122) (122) N/A
03/19/2021 Merrill Lynch International SELL (4,236) Ordinary (766) (766) N/A
03/19/2021 Merrill Lynch International SELL (3,091) Ordinary (559) (559) N/A
03/19/2021 Merrill Lynch International SELL (5,049) Ordinary (913) (913) N/A
03/19/2021 Merrill Lynch International SELL (2,605) Ordinary (471) (471) N/A
03/19/2021 Merrill Lynch International SELL (216) Ordinary (39) (39) 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
03/19/2021 Merrill Lynch International SELL (6,122) Ordinary (1,107) (1,107) N/A
03/19/2021 Merrill Lynch International SELL (2,654) Ordinary (480) (480) N/A
03/19/2021 Merrill Lynch International SELL (536) Ordinary (97) (97) N/A
03/19/2021 Merrill Lynch International SELL (1,830) Ordinary (331) (331) N/A
03/19/2021 Merrill Lynch International SELL (3,555) Ordinary (644) (644) N/A
03/19/2021 Merrill Lynch International SELL (4,399) Ordinary (797) (797) N/A
03/19/2021 Merrill Lynch International SELL (2,249) Ordinary (406) (406) N/A
03/19/2021 Merrill Lynch International SELL (747) Ordinary (135) (135) N/A
03/19/2021 Merrill Lynch International SELL (2,759) Ordinary (499) (499) N/A
03/19/2021 Merrill Lynch International SELL (3,644) Ordinary (659) (659) N/A
03/19/2021 Merrill Lynch International SELL (2,111) Ordinary (381) (381) N/A
03/19/2021 Merrill Lynch International SELL (536) Ordinary (97) (97) N/A
03/19/2021 Merrill Lynch International SELL (1,895) Ordinary (342) (342) N/A
03/19/2021 Merrill Lynch International SELL (3,645) Ordinary (658) (658) N/A
03/19/2021 Merrill Lynch International SELL (1,424) Ordinary (257) (257) N/A
03/19/2021 Merrill Lynch International SELL (1,496) Ordinary (270) (270) N/A
03/19/2021 Merrill Lynch International SELL (1,814) Ordinary (328) (328) N/A
03/19/2021 Merrill Lynch International SELL (1,974) Ordinary (357) (357) N/A
03/19/2021 Merrill Lynch International SELL (3,677) Ordinary (665) (665) N/A
03/19/2021 Merrill Lynch International SELL (763) Ordinary (138) (138) N/A
03/19/2021 Merrill Lynch International SELL (3,224) Ordinary (583) (583) N/A
03/19/2021 Merrill Lynch International SELL (3,943) Ordinary (713) (713) N/A
03/19/2021 Merrill Lynch International SELL (2,461) Ordinary (445) (445) N/A
03/19/2021 Merrill Lynch International SELL (3,141) Ordinary (568) (568) N/A
03/19/2021 Merrill Lynch International SELL (1,244) Ordinary (225) (225) N/A
03/19/2021 Merrill Lynch International SELL (122) Ordinary (22) (22) N/A
03/19/2021 Merrill Lynch International SELL (857) Ordinary (155) (155) N/A
03/19/2021 Merrill Lynch International SELL (2,035) Ordinary (368) (368) N/A
03/19/2021 Merrill Lynch International SELL (4,253) Ordinary (769) (769) N/A
03/19/2021 Merrill Lynch International SELL (2,449) Ordinary (442) (442) N/A
03/19/2021 Merrill Lynch International SELL (105) Ordinary (19) (19) N/A
03/19/2021 Merrill Lynch International SELL (1,441) Ordinary (261) (261) N/A
03/19/2021 Merrill Lynch International SELL (3,157) Ordinary (572) (572) N/A
03/19/2021 Merrill Lynch International SELL (3,323) Ordinary (602) (602) N/A
03/19/2021 Merrill Lynch International SELL (949) Ordinary (171) (171) 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
03/19/2021 Merrill Lynch International SELL (2,643) Ordinary (477) (477) N/A
03/19/2021 Merrill Lynch International SELL (3,330) Ordinary (601) (601) N/A
03/19/2021 Merrill Lynch International SELL (774) Ordinary (140) (140) N/A
03/19/2021 Merrill Lynch International SELL (6,792) Ordinary (1,226) (1,226) N/A
03/19/2021 Merrill Lynch International SELL (4,377) Ordinary (790) (790) N/A
03/19/2021 Merrill Lynch International SELL (1,612) Ordinary (291) (291) N/A
03/19/2021 Merrill Lynch International SELL (238) Ordinary (43) (43) N/A
03/19/2021 Merrill Lynch International SELL (50) Ordinary (9) (9) N/A
03/19/2021 Merrill Lynch International SELL (78) Ordinary (14) (14) N/A
03/19/2021 Merrill Lynch International SELL (2,367) Ordinary (425) (425) N/A
03/19/2021 Merrill Lynch International SELL (1,129) Ordinary (203) (203) N/A
03/19/2021 Merrill Lynch International SELL (1,770) Ordinary (319) (319) N/A
03/19/2021 Merrill Lynch International SELL (4,057) Ordinary (731) (731) N/A
03/19/2021 Merrill Lynch International SELL (1,843) Ordinary (332) (332) N/A
03/19/2021 Merrill Lynch International SELL (477) Ordinary (86) (86) N/A
03/19/2021 Merrill Lynch International SELL (1,049) Ordinary (189) (189) N/A
03/19/2021 Merrill Lynch International SELL (427) Ordinary (77) (77) N/A
03/19/2021 Merrill Lynch International SELL (6) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (1,972) Ordinary (356) (356) N/A
03/19/2021 Merrill Lynch International SELL (2,864) Ordinary (516) (516) N/A
03/19/2021 Merrill Lynch International SELL (1,643) Ordinary (295) (295) N/A
03/19/2021 Merrill Lynch International SELL (2,619) Ordinary (471) (471) N/A
03/19/2021 Merrill Lynch International SELL (921) Ordinary (166) (166) N/A
03/19/2021 Merrill Lynch International SELL (450) Ordinary (81) (81) N/A
03/19/2021 Merrill Lynch International SELL (722) Ordinary (130) (130) N/A
03/19/2021 Merrill Lynch International SELL (622) Ordinary (112) (112) N/A
03/19/2021 Merrill Lynch International SELL (2,131) Ordinary (384) (384) N/A
03/19/2021 Merrill Lynch International SELL (6) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (10,162) Ordinary (1,831) (1,831) N/A
03/19/2021 Merrill Lynch International SELL (1,849) Ordinary (332) (332) N/A
03/19/2021 Merrill Lynch International SELL (2,713) Ordinary (488) (488) N/A
03/19/2021 Merrill Lynch International SELL (1,023) Ordinary (184) (184) N/A
03/19/2021 Merrill Lynch International SELL (1,040) Ordinary (187) (187) N/A
03/19/2021 Merrill Lynch International SELL (5,966) Ordinary (1,075) (1,075) N/A
03/19/2021 Merrill Lynch International SELL (1,405) Ordinary (254) (254) 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
03/19/2021 Merrill Lynch International SELL (1,064) Ordinary (192) (192) N/A
03/19/2021 Merrill Lynch International SELL (2,539) Ordinary (460) (460) N/A
03/19/2021 Merrill Lynch International SELL (1,325) Ordinary (240) (240) N/A
03/19/2021 Merrill Lynch International SELL (1,192) Ordinary (216) (216) N/A
03/19/2021 Merrill Lynch International SELL (12,907) Ordinary (2,334) (2,334) N/A
03/19/2021 Merrill Lynch International SELL (16,170) Ordinary (2,924) (2,924) N/A
03/19/2021 Merrill Lynch International SELL (4,811) Ordinary (870) (870) N/A
03/19/2021 Merrill Lynch International SELL (1,429) Ordinary (258) (258) N/A
03/19/2021 Merrill Lynch International SELL (1,873) Ordinary (338) (338) N/A
03/19/2021 Merrill Lynch International SELL (694) Ordinary (125) (125) N/A
03/19/2021 Merrill Lynch International SELL (2,312) Ordinary (417) (417) N/A
03/19/2021 Merrill Lynch International SELL (8,719) Ordinary (1,571) (1,571) N/A
03/19/2021 Merrill Lynch International SELL (1,815) Ordinary (327) (327) N/A
03/19/2021 Merrill Lynch International SELL (809) Ordinary (146) (146) N/A
03/19/2021 Merrill Lynch International SELL (3,041) Ordinary (549) (549) N/A
03/19/2021 Merrill Lynch International SELL (1,152) Ordinary (208) (208) N/A
03/19/2021 Merrill Lynch International SELL (228) Ordinary (41) (41) N/A
03/19/2021 Merrill Lynch International SELL (199) Ordinary (36) (36) N/A
03/19/2021 Merrill Lynch International SELL (901) Ordinary (163) (163) N/A
03/19/2021 Merrill Lynch International SELL (1,156) Ordinary (209) (209) N/A
03/19/2021 Merrill Lynch International SELL (4,214) Ordinary (762) (762) N/A
03/19/2021 Merrill Lynch International SELL (4,767) Ordinary (862) (862) N/A
03/19/2021 Merrill Lynch International SELL (1,924) Ordinary (353) (353) N/A
03/19/2021 Merrill Lynch International SELL (2,166) Ordinary (397) (397) N/A
03/19/2021 Merrill Lynch International SELL (583) Ordinary (107) (107) N/A
03/19/2021 Merrill Lynch International SELL (835) Ordinary (153) (153) N/A
03/19/2021 Merrill Lynch International SELL (33) Ordinary (6) (6) N/A
03/19/2021 Merrill Lynch International SELL (333) Ordinary (61) (61) N/A
03/19/2021 Merrill Lynch International SELL (683) Ordinary (125) (125) N/A
03/19/2021 Merrill Lynch International SELL (1,684) Ordinary (309) (309) N/A
03/19/2021 Merrill Lynch International SELL (22) Ordinary (4) (4) N/A
03/19/2021 Merrill Lynch International SELL (2,191) Ordinary (402) (402) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (480) Ordinary (88) (88) N/A
03/19/2021 Merrill Lynch International SELL (1,690) Ordinary (310) (310) 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
03/19/2021 Merrill Lynch International SELL (218) Ordinary (40) (40) N/A
03/19/2021 Merrill Lynch International SELL (153) Ordinary (28) (28) N/A
03/19/2021 Merrill Lynch International SELL (142) Ordinary (26) (26) N/A
03/19/2021 Merrill Lynch International SELL (11) Ordinary (2) (2) N/A
03/19/2021 Merrill Lynch International SELL (180) Ordinary (33) (33) N/A
03/19/2021 Merrill Lynch International SELL (136) Ordinary (25) (25) N/A
03/19/2021 Merrill Lynch International SELL (131) Ordinary (24) (24) N/A
03/19/2021 Merrill Lynch International SELL (8,431) Ordinary (1,547) (1,547) N/A
03/19/2021 Merrill Lynch International SELL (33) Ordinary (6) (6) N/A
03/19/2021 Merrill Lynch International SELL (22) Ordinary (4) (4) N/A
03/19/2021 Merrill Lynch International SELL (120) Ordinary (22) (22) N/A
03/19/2021 Merrill Lynch International SELL (49) Ordinary (9) (9) N/A
03/19/2021 Merrill Lynch International SELL (71) Ordinary (13) (13) N/A
03/19/2021 Merrill Lynch International SELL (44) Ordinary (8) (8) N/A
03/19/2021 Merrill Lynch International SELL (109) Ordinary (20) (20) N/A
03/19/2021 Merrill Lynch International SELL (3,352) Ordinary (615) (615) N/A
03/19/2021 Merrill Lynch International SELL (16) Ordinary (3) (3) N/A
03/19/2021 Merrill Lynch International SELL (120) Ordinary (22) (22) N/A
03/19/2021 Merrill Lynch International SELL (3,205) Ordinary (588) (588) N/A
03/19/2021 Merrill Lynch International SELL (979) Ordinary (180) (180) N/A
03/19/2021 Merrill Lynch International SELL (892) Ordinary (164) (164) N/A
03/19/2021 Merrill Lynch International SELL (76) Ordinary (14) (14) N/A
03/19/2021 Merrill Lynch International SELL (2,000) Ordinary (367) (367) N/A
03/19/2021 Merrill Lynch International SELL (27) Ordinary (5) (5) N/A
03/19/2021 Merrill Lynch International SELL (142) Ordinary (26) (26) N/A
03/19/2021 Merrill Lynch International SELL (27) Ordinary (5) (5) N/A
03/19/2021 Merrill Lynch International SELL (311) Ordinary (57) (57) N/A
03/19/2021 Merrill Lynch International SELL (120) Ordinary (22) (22) N/A
03/19/2021 Merrill Lynch International SELL (343) Ordinary (63) (63) N/A
03/19/2021 Merrill Lynch International SELL (104) Ordinary (19) (19) N/A
03/19/2021 Merrill Lynch International SELL (376) Ordinary (69) (69) N/A
03/19/2021 Merrill Lynch International SELL (16) Ordinary (3) (3) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) 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
03/19/2021 Merrill Lynch International SELL (572) Ordinary (105) (105) N/A
03/19/2021 Merrill Lynch International SELL (164) Ordinary (30) (30) N/A
03/19/2021 Merrill Lynch International SELL (11) Ordinary (2) (2) N/A
03/19/2021 Merrill Lynch International SELL (33) Ordinary (6) (6) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (164) Ordinary (30) (30) N/A
03/19/2021 Merrill Lynch International SELL (147) Ordinary (27) (27) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (60) Ordinary (11) (11) N/A
03/19/2021 Merrill Lynch International SELL (218) Ordinary (40) (40) N/A
03/19/2021 Merrill Lynch International SELL (191) Ordinary (35) (35) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (38) Ordinary (7) (7) N/A
03/19/2021 Merrill Lynch International SELL (141) Ordinary (26) (26) N/A
03/19/2021 Merrill Lynch International SELL (256) Ordinary (47) (47) N/A
03/19/2021 Merrill Lynch International SELL (16) Ordinary (3) (3) N/A
03/19/2021 Merrill Lynch International SELL (65) Ordinary (12) (12) N/A
03/19/2021 Merrill Lynch International SELL (5) Ordinary (1) (1) N/A
03/19/2021 Merrill Lynch International SELL (131) Ordinary (24) (24) N/A
03/19/2021 Merrill Lynch International SELL (11) Ordinary (2) (2) N/A
03/19/2021 Merrill Lynch International SELL (452) Ordinary (83) (83) N/A
03/19/2021 Merrill Lynch International SELL (974) Ordinary (179) (179) N/A
03/19/2021 Merrill Lynch International SELL (267) Ordinary (49) (49) N/A
03/19/2021 Merrill Lynch International SELL (169) Ordinary (31) (31) N/A
03/19/2021 Merrill Lynch International SELL (2,540) Ordinary (466) (466) N/A
03/19/2021 Merrill Lynch International SELL (3,199) Ordinary (588) (588) N/A
03/19/2021 Merrill Lynch International SELL (239) Ordinary (44) (44) N/A
03/19/2021 Merrill Lynch International SELL (16) Ordinary (3) (3) N/A
03/19/2021 Merrill Lynch International SELL (152) Ordinary (28) (28) N/A
03/19/2021 Merrill Lynch International SELL (1,499) Ordinary (275) (275) N/A
03/19/2021 Merrill Lynch International SELL (1,123) Ordinary (206) (206) N/A
03/19/2021 Merrill Lynch International BUY 179,749 Ordinary 33,724 33,724 N/A
03/19/2021 Merrill Lynch International SELL (1,073,760) Ordinary (201,456) (201,456) N/A
03/19/2021 Merrill Lynch International BUY 1,073,760 Ordinary 201,456 201,456 N/A
03/19/2021 Merrill Lynch International SELL (1,073,760) Ordinary (201,456) (201,456) 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
03/19/2021 Merrill Lynch International SELL (179,749) Ordinary (33,724) (33,724) N/A
03/19/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (700,853) (700,853) Refer to App. B
03/19/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (239,147) (239,147) RefertoApp. B
03/19/2021 Merrill Lynch International Securitiesreturned N/A Ordinary (1,962,715) (1,962,715) RefertoApp. B
03/19/2021 Merrill Lynch International Securitiesreturned N/A Ordinary (2,436,393) (2,436,393) RefertoApp. B
03/19/2021 Merrill Lynch International Securities borrowed N/A Ordinary 4,399,108 4,399,108 RefertoApp. B
03/19/2021 Merrill Lynch International Securities returned N/A Ordinary (4,171,391) (4,171,391) Refer to App. B
03/19/2021 Merrill Lynch International Securities borrowed N/A Ordinary 77,000 77,000 RefertoApp. B
03/19/2021 Merrill Lynch(Australia)Futures Limited SELL (342,692) Ordinary (64,295) (64,295) N/A
03/19/2021 Merrill Lynch(Australia)FuturesLimited BUY 1,861,421 Ordinary 349,189 349,189 N/A
03/19/2021 Merrill Lynch(Australia)Futures Limited SELL (25,993) Ordinary (4,625) (4,625) N/A
03/22/2021 Merrill Lynch International Securitiesreturned N/A Ordinary (1,413,000) (1,413,000) RefertoApp. B
03/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 216,903 Ordinary 42,555 42,555 N/A
03/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 4,995 Ordinary 999 999 N/A
03/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 245,439 Ordinary 47,579 47,579 N/A
03/22/2021 Merrill Lynch(Australia)FuturesLimited SELL (636,764) Ordinary (124,850) (124,850) N/A

Appendix B-1: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International, Merrill Lynch Markets (Australia) Pty. Limited and Equity
Trustees Limited As Trustee And Responsible Entity Of Regal Investment Fund
Holder of voting
rights		 Securities borrow er. 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 borrow er w ill have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender w ill 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 Integrated Core Strategies (Asia)
Holder of voting
rights		 Securities borrow er. 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 borrow er w ill have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender w ill 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, Merrill Lynch Markets (Australia) Pty. Limited and Regal
Funds Management Pty Limited as Trustee of Tasman Market Neutral Fund
Holder of voting
rights		 Securities borrow er. 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 borrow er w ill have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender w ill 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 For
Regal Tactical Opportunities Fund
Holder of voting
rights		 Securities borrow er. 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 borrow er w ill have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender w ill 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, Merrill Lynch Markets (Australia) Pty. Limited and Regal
Funds Management Pty Limited as Trustee of Atlantic Absolute Return Fund
Holder of voting
rights		 Securities borrow er. 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 borrow er w ill have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender w ill 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, Merrill Lynch Markets (Australia) Pty. Limited and
Susquehanna Pacific Pty Ltd
Holder of voting
rights		 Securities borrow er. 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 borrow er w ill have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender w ill 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 Securities Lending Agreement
Parties to agreement Merrill Lynch International and JP MORGAN CHASE BANK JGBS
Holder of voting rights Securities borrow er. 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 borrow er w ill have right to return assets at any time.
Does the lender have
the right to recall
**early? **		 Yes
If yes, detail Securities lender w ill 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

Related bodies corporate Incorporated ACN/Registration/Incorporation Number
Merrill Lynch International United Kingdom 2312079
ML UK Capital Holdings Limited United Kingdom 4971231
BofAML EMEA Holdings 2 Limited United States 119605
Merrill Lynch(Australia)Futures Limited Australia 003639674
Merrill Lynch International(Australia)Ltd Australia 002892846
Merrill Lynch Markets(Australia)Pty. Limited Australia 075587816
Merrill Lynch(Australasia)Pty. Ltd Australia 075923894
Bank of America Global Holdings, LLC United States 5169939
BofAML JerseyHoldings Limited Jersey 115831
NB Holdings Corporation United States 2361372
Bank of America Corporation United States N/A628

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