Opthea Ltd — Major Shareholding Notification 2019

Dec 15, 2019

Form 605

Corporations Act 2001

Section 671B

Notice of ceasing to be a substantial holder

To Company Name/Scheme OPTHEA LIMITED ACN/ARSN ACN 006 340 567

1. Details of substantial holder (1)

Name Credit Suisse Holdings (Australia) Limited (on behalf of Credit Suisse Group AG and its affiliates) ACN/ARSN (if applicable) 008 496 713

The holder ceased to be a substantial holder on 11-Dec-2019 The previous notice was given to the company on 12-Dec-2019 The previous notice was dated 12-Dec-2019

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
10-Dec-19	Credit Suisse Equities (Australia) Limited	Acquired on market	18,801.57 AUD	6,948 Common Stock	6,948
10-Dec-19	Credit Suisse Equities (Australia) Limited	Acquired on market	1,998.10 AUD	739 Common Stock	739
10-Dec-19	Credit Suisse Equities (Australia) Limited	Acquired on market	8,247.90 AUD	3,026 Common Stock	3,026
11-Dec-19	Credit Suisse Equities (Australia) Limited	Disposed on market	10,772.53 AUD	-3,785 Common Stock	-3,785
11-Dec-19	Credit Suisse Equities (Australia) Limited	Disposed on market	13,257.58 AUD	-4,718 Common Stock	-4,718
11-Dec-19	Credit Suisse Equities (Australia) Limited	Disposed on market	17,789.81 AUD	-6,150 Common Stock	-6,150
11-Dec-19	Credit Suisse Equities (Australia) Limited	Acquired on market	790.25 AUD	289 Common Stock	289
11-Dec-19	Credit Suisse Securities (Europe) Limited	Stock returned under Master prime brokerage agreement	Refer to Annexure A of Notice	-99,567 Common Stock	-99,567
11-Dec-19	Credit Suisse Securities (Europe) Limited	Stock returned under Master prime brokerage agreement	Refer to Annexure A of Notice	-518,830 Common Stock	-518,830
11-Dec-19	Credit Suisse Securities (Europe) Limited	Stock returned under Master prime brokerage agreement	Refer to Annexure A of Notice	-653,000 Common Stock	-653,000

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:

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

4. Addresses

The addresses of persons named in this form are as follows:

Name	Address
Credit Suisse Holdings (Australia) Limited (ACN 008 496 713)	Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia
CS Third Nominees Pty Limited (ACN 007 053 849)	Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia
Credit Suisse Equities (Australia) Limited (ACN 068 232 708)	Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia
Credit Suisse Fourth Nominees Pty Limited (ACN 069 126 432)	Level 31, Gateway, 1 Macquarie Place, Sydney NSW 2000, Australia
Credit Suisse Securities (Europe) Limited (ARBN 099554131)	One Cabot Square,London,E14 4QJ

Signature print name sign here	Winston Loke capacity Authorised Signatory
	date 16-Dec-2019

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Annexure "A"

This is Annexure "A" referred to in the Form 605 "Notice of ceasing to be a substantial holder"

Signature print name sign here	Credit Suisse Holdings (Australia) Limited (ACN 008 496 713) Winston Loke capacity Authorised Signatory
	date 16-Dec-2019

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Prescribed information
Schedule
Type of agreement	Master Prime Brokerage Securities Lending
	Agreement
Parties to agreement	Credit Suisse Securities (Europe) Limited and
	Regal Australian LS Equity Fund
Transfer date	11-Dec-2019
Holder of voting rights	Borrower
Are there any restrictions on voting rights?	Yes
If yes, detail	Voting rights to be exercised in accordance
	with lender’s instructions provided such
	instructions are received 5 days prior.
Scheduled return date (if any)	N/A
Does the borrower have the right to return early?	Yes
If yes, detail	At Will
Does the lender have the right to recall early?	Yes
If yes, detail	With 4 days prior written notice or earlier upon
	agreement
Will the securities be returned on settlement?	Yes
If yes, detail any exceptions	If an event of default occurs in respect of either
	the lender or the borrower, the obligation of the
	borrower to deliver the securities to the lender
	will be netted off against the obligation of the
	lender to return securities or cash held by the
	lender as collateral.

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Prescribed information

Schedule
Type of agreement	Master Prime Brokerage Securities Lending
	Agreement
Parties to agreement	Credit Suisse Securities (Europe) Limited and
	Atlantic Absolute Return Fund
Transfer date	11-Dec-2019
Holder of voting rights	Borrower
Are there any restrictions on voting rights?	Yes
If yes, detail	Voting rights to be exercised in accordance
	with lender’s instructions provided such
	instructions are received 5 days prior.
Scheduled return date (if any)	N/A
Does the borrower have the right to return early?	Yes
If yes, detail	At Will
Does the lender have the right to recall early?	Yes
If yes, detail	With 4 days prior written notice or earlier upon
	agreement
Will the securities be returned on settlement?	Yes
If yes, detail any exceptions	If an event of default occurs in respect of either
	the lender or the borrower, the obligation of the
	borrower to deliver the securities to the lender
	will be netted off against the obligation of the
	lender to return securities or cash held by the
	lender as collateral.

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Prescribed information

Schedule
Type of agreement	Master Prime Brokerage Securities Lending
	Agreement
Parties to agreement	Credit Suisse Securities (Europe) Limited and
	L1 Long Short Fund Limited
Transfer date	11-Dec-2019
Holder of voting rights	Borrower
Are there any restrictions on voting rights?	Yes
If yes, detail	Voting rights to be exercised in accordance
	with lender’s instructions provided such
	instructions are received 5 days prior.
Scheduled return date (if any)	N/A
Does the borrower have the right to return early?	Yes
If yes, detail	At Will
Does the lender have the right to recall early?	Yes
If yes, detail	With 4 days prior written notice or earlier upon
	agreement
Will the securities be returned on settlement?	Yes
If yes, detail any exceptions	If an event of default occurs in respect of either
	the lender or the borrower, the obligation of the
	borrower to deliver the securities to the lender
	will be netted off against the obligation of the
	lender to return securities or cash held by the
	lender as collateral.

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