NZX Limited — Interim / Quarterly Report 2021

Jul 27, 2021

NZX Limited - Half Year Shareholder Metrics

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HY 2021

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

Core Markets

NZX Listed Issuers	**30.06.21 **	Change YoY
Total equity securities	134	3.9%
Total fund securities	48	6.7%
Total retail debt securities	140	4.5%
Total wholesale debt securities	8	14.3%
Total other securities	4	0.0%
Total listed securities	334	4.7%
Total NZX Main Board equity issuers	132	3.9%
Total NZX Main Board fund issuers	48	6.7%
Total NZX Debt Market retail debt issuers	51	4.1%
Total NZX Debt Market wholesale debt issuers	2	0.0%
Total other issuers	4	0.0%
Total unique issuers	207	5.1%

	Capital Raising	**HY 2021 **	Change YoY
	Total capital raisings	$7,323 m	-10.60%
	New Capital Listed
	Total capital listed by all issuers	$3,430 m	46.9%
	Equity listings	$875 m	2400.2%
	Fund listings	-	n/a
	Retail debt listings	$2,555 m	70.3%
	Wholesale debt listings	-	-100%
	Secondary Capital Raisings
	Total capital raised by all issuers	$3,893 m	-33.9%
	Total equity raised - NZ issuers	$1,016 m	-67.7%
	Total equity raised - dual or foreign issuer	$1 m	18.5%
	Total funds raised - NZ issuers	$1,115 m	77.8%
	Total funds raised - dual or foreign issuer	$328 m	-8.4%
	Total retail debt raised	$766 m	-36.6%
	Total wholesale debt raised	$667 m	19.8%
	Total number of capital raising events	1,898	29.1%
	Equity issuers - capital raised < $10m	182	17.4%
	Equity issuers - capital raised ≥ $10m < $100m	10	-52.4%
	Equity issuers - capital raised ≥ $100m	2	-75.0%
	Fund issuers - capital raised	1,687	33.4%
	Retail debt issuers - capital raised	16	-20.0%
	Wholesale debt issuers - capital raised	1	-
	Clearing House / Depository	**HY 2021 **	Change YoY
	Gross value of cleared trades	$27,189 m	-2.8%
	Collateral held at period end	$77 m	0.6%
	Depository transactions	45,902	10.9%
	Assets under custody in depository at period end	$5,375 m	44.3%
	Derivatives	**HY 2021 **	Change YoY
	Futures - total lots traded	127,656	-24.2%
	Options - total lots traded	12,294	-67.1%
	Total derivatives lots traded	139,950	-31.9%
	Open interest as at period end	60,622	-21.8%
	Notional value traded ($USD)	$886 m	8.3%
	Options to futures ratio	9.6%	-56.6%
	Block trade %	0.6%	n/a
	Energy Contracts	**30.06.21 **	Change YoY
	Operating / Technology contracts	18	5.9%
	- contracts ≥ $500k p.a.	5	25.0%
	- contracts < $500k p.a.	13	0.0%

Market Capitalisation	**30.06.21 **	Change YoY	% of GDP
Total market capitalisation	$227,483 m	13.6%	69.9%
All equity	$179,046 m	13.0%	55.0%
All funds	$7,052 m	41.3%	2.2%
All other	$31 m	261.2%	0.0%
Total NZX Main Board	$186,129 m	13.8%	57.2%
Retail debt	$32,662 m	2.0%	10.0%
Green bonds	$3,225 m	258.3%	1.0%
Wholesale debt	$5,467 m	45.4%	1.7%
Total NZX Debt Market	$41,354 m	12.7%	12.7%
Cash Market		**HY 2021 **	Change YoY
Total value traded		$27,147 m	-2.8%
Daily average value traded		$223 m	-2.0%
On-market value traded		$17,324 m	-0.6%
% of value on-market		63.8%	2.3%
Total trades		8,043,069	36.5%
Daily average trades		65,927	36.5%
Total Equity Transactions
Total trades		8,020,460	36.5%
Value traded		$26,213 m	-3.1%
% of value on-market		65.1%	4.3%
Total Debt Transactions
Total trades		22,609	15.8%
Value traded		$934 m	7.5%

NZX Indices Performance	**30.06.21 **	Change YoY	Wholesale Data	**30.06.21 **	Change YoY
S&P/NZX50 Index	12,655	10.5%	Terminal numbers - professional	6,602	6.2%
S&P/NZX 50 Index (Capital)	5,242	8.0%	Terminal numbers - retail	1,978	-26.5%
S&P/NZX 50 Portfolio Index	8,064	23.0%	Licences - value ≥ $20k p.a.	56	30.2%
S&P/NZX Primary Sector Index	13,787	-15.5%	Licences - value < $20k p.a.	81	-
S&P/NZX NZ Fixed Interest Composite Index	125	-2.2%
S&P/NZX A-Grade Bond Index	5,863	-1.2%
Direct Data Products	**30.06.21 **	Change YoY	Dairy Data Subscriptions	**30.06.21 **	Change YoY
Proprietary security subscription products	311	-1.0%	Dairy data subscriptions	464	-0.6%
- products ≥ $3,000 p.a.	110	1.9%	- products ≥ $1,500 p.a.	109	3.8%
- products < $3,000 p.a.	201	-2.4%	- products < $1,500 p.a.	355	-1.9%

Smartshares

	**30.06.21 **	Change YoY
Total external funds under management	$5,692 m	44.3%
Scheme FUM	**30.06.21 **	Change YoY
SuperLife Kiwisaver	$1,320 m	31.1%
SuperLife Workplace Savings	$1,446 m	19.0%
Smartshares Exchange Traded Funds - External	$2,160 m	53.4%
Smartshares Exchange Traded Funds - Total (external and internal)	$5,016 m	41.3%
Other Metrics	**30.06.21 **	Change YoY
Units on issue	1,653 m	21.7%
Value of stock lent over month	$319 m	-10.2%
Wealth Technologies
	**30.06.21 **	Change YoY
Funds under administration	$7,734 m	151.1%

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). With an overseas domiciled Issuer, the market capitalisation represents the amount that is held in New Zealand.

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

4. Funds include exchange traded funds, managed funds, listed investment companies and trusts.

5. "Other" securities include rights, warrants and options quoted on the NZX Main Board (NZSX).

6. 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 and classification restatements.

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