NZX Limited — Regulatory Filings 2021

Jun 2, 2021

NZX Limited - Monthly Shareholder Metrics

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May 2021

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

Core Markets

NZX Listed Issuers May 2021 Change YoY	Capital Raising May 2021 YTD Change YoY	Capital Raising May 2021 YTD Change YoY
Total equity securities 135 3.8% Total fund securities 48 6.7%	Total capital raisings $2,141 m $5,971 m -11.6%
Total retail debt securities 140 2.2% Total wholesale debt securities 8 14.3% Total other securities 4 0.0% Total listed securities 335 3.7% Total NZX Main Board equity issuers 133 3.9% Total NZX Main Board fund issuers 48 6.7% Total NZX Debt Market retail debt issuers 51 0.0% Total NZX Debt Market wholesale debt issuers 2 0.0% Total other issuers 4 0.0% Total unique issuers 208 4.5%	New Capital Listed
	Total capital listed by all issuers $1,821 m $2,825 m 22.8% Equity listings $346 m $875 m 2400.2% Fund listings - - - Retail debt listings $1,475 m $1,950 m 30.0% Wholesale debt listings - - -100.0%
	Secondary Capital Raisings
	Total capital raised by all issuers $320 m $3,146 m -29.3% Total equity raised - NZ issuers $59 m $718 m -66.3% Total equity raised - dual or foreign issuer $0 m $1 m -
Market Capitalisation May 2021 Change YoY % of GDP	Total funds raised - NZ issuers $228 m $861 m 62.9%
Total market capitalisation $223,949 m 15.8% 68.7% All equity $175,817 m 16.4% 53.9% All funds $6,970 m 43.3% 2.1% All other $31 m 270.7% 0.0% Total NZX Main Board $182,818 m 17.3% 56.1% Retail debt $32,541 m -1.2% 10.0% Green bonds $3,225 m 258.3% 1.0% Wholesale debt $5,365 m 42.5% 1.6% Total NZX Debt Market $41,131 m 9.4% 12.6%	Total funds raised - dual or foreign issuer $33 m $297 m -13.5% Total retail debt raised - $602 m -32.4% Total wholesale debt raised - $667 m 19.8% Total number of secondary capital raising events 330 1,598 34.7% Equity issuers - capital raised < $10m 37 155 27.0% Equity issuers - capital raised ≥ $10m < $100m 1 6 -57.1% Equity issuers - capital raised ≥ $100m - 1 -75.0% Fund issuers - capital raised 292 1,422 38.1% Retail debt issuers - capital raised - 13 -13.3% Wholesale debt issuers - capital raised - 1 -
Cash Market May 2021 Change YoY
Total value traded $4,204 m -3.7% Daily average value traded $200 m -3.7% On-market value traded $2,625 m -12.2% % of value on-market 62.4% -8.9% Total trades 1,284,517 23.2% Daily average trades 61,167 23.2%	Derivatives May 2021 Change YoY
	Futures - total lots traded 18,689 -33.4% Options - total lots traded 990 -68.1% Total derivatives lots traded 19,679 -36.9% Total derivatives lots traded - YTD 115,220 -34.4% Open interest 58,357 -24.6% Notional value traded ($USD) $139 m 14.0% Options to futures ratio 5.3% -52.0%
Total Equity Transactions	Block trade % 0.0% -
Total trades 1,280,154 23.1%
Value traded $3,994 m -5.4% % of value on-market 64.5% -7.8% Average on-market trade size $2,016 -29.2%	Derivatives Total Lots Traded 2019 / 2020 / 2021
Total Debt Transactions
Total trades 4,363 43.3% Value traded $211 m 45.9%
Cumulative Numbers - YTD
Number of trades 6,806,776 48.3% Total value traded $22,234 m -1.5% % of value on-market 65.8% 4.9%

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NZX Indices Performance	**May 2021 **	Change YoY	Clearing House / Depository	**May 2021 **	Change YoY
S&P/NZX 50 Index (Gross)	12,321	13.2%	Gross value of cleared trades over month	$4,192 m	-4.3%
S&P/NZX 50 Index (Capital)	5,119	10.8%	Collateral held at month end	$89 m	-23.4%
S&P/NZX 50 Portfolio Index	7,885	24.0%	Depository transactions	7,725	11.4%
S&P/NZX Primary Sector Index	13,172	-18.2%	Assets under custody in depository	$5,354 m	50.5%
S&P/NZX NZ Fixed Interest Composite Index	125	-2.7%
S&P/NZX A-Grade Bond Index	5,847	-1.4%
Direct Data Products	**May 2021 **	Change YoY	Dairy Data Subscriptions	**May 2021 **	Change YoY
Proprietary security subscription products	311	-1.6%	Dairy data subscriptions	461	-3.8%
- products ≥ $3,000 p.a.	110	1.9%	- products ≥ $1,500 p.a.	106	-1.9%
- products < $3,000 p.a.	201	-3.4%	- products < $1,500 p.a.	355	-4.3%
Wholesale Data	**May 2021 **	Change YoY	Energy and Environment Contracts	**May 2021 **	Change YoY
Terminal numbers - professional	6,613	4.1%	Operating / Technology contracts	18	5.9%
Terminal numbers - retail	1,929	-35.8%	- contracts ≥ $500k p.a.	5	25.0%
Licences - value ≥ $20k p.a.	56	30.2%	- contracts < $500k p.a.	13	0.0%
Licences - value < $20k p.a.	80	-1.2%

Smartshares

	**May 2021 **	Change YoY
Total external funds under management	$5,693 m	47.9%
Scheme FUM	**May 2021 **	Change YoY
SuperLife Kiwisaver	$1,275 m	28.7%
SuperLife Workplace Savings	$1,421 m	19.0%
Smartshares Exchange Traded Funds - External	$2,280 m	69.8%
Smartshares Exchange Traded Funds - Total (external and internal)	$4,979 m	45.7%
Other Metrics	**May 2021 **	Change YoY
Units on issue	1,689 m	27.4%
Value of stock lent over month	$268 m	11.4%

Wealth Technologies

Funds under administration	$7,572 m	222.2%
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