NZX Limited — Fund Information / Factsheet 2018

Oct 2, 2018

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NZX Limited - Monthly Shareholder Metrics

September 2018

These shareholder metrics represent the key operations of NZX's business.

Markets

NZX Listed Issuers Sep. 2018 Change YoY Capital Raising Sep. 2018 YTD	NZX Listed Issuers Sep. 2018 Change YoY Capital Raising Sep. 2018 YTD
Total equity securities 141 -6.0% New Capital Listed Total fund securities 35 0.0% IPOs and compliance equity listings - $20 m Total debt securities 125 7.8% Fund listings - - Total other securities 3 -25.0% Debt listings $825 m $2,880 m Total listed securities 304 -0.3% Secondary Capital Raisings Total NZSX equity issuers 120 -4.8% Total capital raised by all issuers $187 m $3,626 m Total NZAX equity issuers 15 -11.8% Total NXT equity issuers 3 -25.0% Total equity raised - NZ issuers $104 m $1,262 m Total NZSX fund issuers 35 0.0% Total equity raised - dual or foreign issuer $40 m $669 m Total NZDX issuers 49 11.4% Total funds raised - NZ issuers $33 m $722 m Total other issuers 3 -40.0% Total funds raised - dual or foreign issuer $10 m $135 m Total unique issuers 199 -3.4% Total debt raised - $838 m
Market Capitalisation Sep. 2018 Change YoY % of GDP	Number of capital raising events 122 988
All equity $138,042 m 11.3% 47.7% All funds $3,968 m 14.3% 1.4% All other $6 m -18.1% 0.0% Total equity $142,016 m 11.4% 49.1%	Equity issuers - capital raised < $10m 57 270 Equity issuers - capital raised ≥ $10m < $100m 2 15 Equity issuers - capital raised ≥ $100m - 3 Fund issuers - capital raised * 63 681 Debt issuers - capital raised - 19
Debt $28,139 m -0.1% 9.7% Green bonds $672 m - 0.2% Total NZDX $28,811 m 2.2% 10.0%

Market Capitalisation	**Sep. 2018 **	Change YoY	% of GDP
All equity	$138,042 m	11.3%	47.7%
All funds	$3,968 m	14.3%	1.4%
All other	$6 m	-18.1%	0.0%
Total equity	$142,016 m	11.4%	49.1%
Debt	$28,139 m	-0.1%	9.7%
Green bonds	$672 m	-	0.2%
Total NZDX	$28,811 m	2.2%	10.0%

• Funds include Smartshares ETFs. These figures include

fund raising events that were not previously reported.

Cash Market Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY	Derivatives Sep. 2018 Change YoY
Total value traded $3,543 m -7.7% Daily average value traded $177 m -3.1% On-market value traded $1,921 m 26.6% % of value on-market 54.2% 37.2% Total trades 279,746 46.9% Daily average trades 13,987 54.2% Average on-market trade size $9,672 -10.5%	Futures - total lots traded 24,101 17.2% Options - total lots traded 9,520 206.1% Total derivatives lots traded 33,621 42.1% Open interest 64,474 22.8% Notional value traded ($USD) $103 m 10.0% Options to futures ratio 39.5% 161.1% Block trade % 0.9% -93.6%
Total Equity Transactions
Total trades 277,252 48.0% Value traded $3,420 m -5.8% % of value on-market 53.0% 43.3%	Derivatives Total Lots Traded 2016 / 2017 / 2018
Total Debt Transactions
Total trades 2,494 -21.4% Value traded $123 m -40.9% % of value on-market 87.9% 5.1%
Cumulative Numbers - YTD
Number of trades 2,447,011 69.4% Total value traded $29,457 m -5.9% % of value on-market 53.4% 35.0%

NZX Indices Performance	**Sep. 2018 **	Change YoY	Clearing House / Depository	**Sep. 2018 **	Change YoY
S&P/NZX50 Index	9,351	17.9%	Gross value of cleared trades over month	$3,549 m	-8.0%
S&P/NZX 50 Portfolio Index	5,817	17.9%	Collateral held at month end	$54 m	-5.8%
S&P/NZX Primary Sector Index	16,984	28.0%	Depository transactions	2,262	-11.2%
			Assets under custody in depository	$720 m	68.7%
S&P/NZX NZ Fixed Interest Composite Index	115	4.7%	Value of stock lent over month	$294 m	-44.5%
S&P/NZX A-Grade Bond Index	5,317	4.6%
Wholesale Data	**Sep. 2018 **	Change YoY	Direct Data Products	**Sep. 2018 **	Change YoY
Terminal numbers - professional*	5,996	-2.5%	Dairy data subscriptions	964	26.0%
Terminal numbers - retail*	1,321	3.4%
Licences - value ≥ $20k pa	35	2.9%	Proprietary security subscription products	399	0.0%
Licences - value < $20k pa	66	8.2%	- products ≥ $3,000 p.a	144	-10.0%
* 3 month average			- products < $3,000 p.a.	255	6.7%
Energy Contracts				**Sep. 2018 **	Change YoY
Operating / Technology contracts				16	-5.9%
- contracts ≥ $500k p.a.				4	0.0%
- contracts < $500k p.a.				12	-7.7%
Funds Services
SuperLife				**Sep. 2018 **	Change YoY
Funds under management - KiwiSaver				$834 m	19.6%
Funds under management - other				$1,356 m	15.0%
Total				$2,190 m	16.7%
Smartshares				**Sep. 2018 **	Change YoY
Funds under management - external				$868 m	39.0%
Funds under management - SuperLife funds				$1,802 m	32.0%
Total				$2,670 m	34.2%
Units on issue				987 m	15.6%
NZX Wealth Technologies				**Sep. 2018 **	Change YoY
Funds under administration				$1,129 m	-5.3%
Notes

1. All figures are measured at the end of the last trading day of each month unless otherwise stated. Change refers to the change since the same period last year unless otherwise stated

2. Equity market capitalisation includes all securities quoted on the NZX Main Board (NZSX), NZX Alternative Market (NZAX) and NXT Market

3. Market capitalisation for the NZX Debt Market is the total nominal (face) value of all quoted securities, excluding New Zealand Government stock

4. Please note these operational statistics are based on NZX’s internal records, which are unaudited. Differences may arise between this data and that disclosed in subsequent audited financial statements. Differences may also arise between this data and the previously reported data due to rounding.

To enquire about information listed on this sheet, or to find out more about NZX products or services, please email: data@nzx.com