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Opthea Ltd Major Shareholding Notification 2019

Nov 19, 2019

32698_rns_2019-11-19_e9967134-6790-411a-9516-4055c0675e0f.pdf

Major Shareholding Notification

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Corporations Law Section 671B

Form 604

Notice of change of interests of substantial holder

To: Company Name/Scheme OPTHEA LTD ACN/ ~~ARSN~~ 006 340 567

1. Details of substantial holder

Name

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

ACN/ARSN (if applicable):

There was a change in the interests of the substantial holder on 18 November 2019 9 October 2019

The previous notice was given to the company on

2. Previous and present voting power

The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:

Class of
securities (4)		 Previous Notice Previous Notice Present Notice Present Notice
Person’s Votes Voting Power (5) Person’s Votes Voting Power (5)
Ordinary 15,793,378 6.31% 19,000,916 7.59%

3. Changes in relevant interests

Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate 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 (6)		 Consideration given
in relation to
change (7)		 Class and Number
of securities
affected		 Person’s
votes
affected
Please see Appendix A

4. Present relevant interests

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:

Holder of
relevant
interest		 Registered
holder of
securities		 Person entitled
to be registered
holder (8)		 Nature of relevant interest
(6)		 Class and
number of
securities		 Person’s
votes
Merrill Lynch
(Australia)
Futures Ltd		 Merrill Lynch
(Australia)
Nominees Pty Ltd		 Merrill Lynch
(Australia)
Futures Ltd		 Power to control voting
and/or disposal of
securities in its capacity as
ultimate beneficial owner
having a principal position.		 Ordinary
14,019,936		 14,019,936
Merrill Lynch
International
(Australia) Ltd		 Merrill Lynch
(Australia)
Nominees Pty Ltd		 Merrill Lynch
International
(Australia) Ltd		 Borrowing of securities
pursuant to a Prime
Brokerage Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 Ordinary
4,586,731		 4,586,731
Merrill Lynch
International		 Merrill Lynch
(Australia)
Nominees Pty Ltd		 Merrill Lynch
International		 Power to control voting
and/or disposal of
securities in its capacity as
ultimate beneficial owner
having a principal position.		 Ordinary
15,685		 15,685
Merrill Lynch
International		 Merrill Lynch
(Australia)
Nominees Pty Ltd		 Merrill Lynch
International		 Borrowing of securities
pursuant to a Prime
Brokerage Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 Ordinary
378,564		 378,564

5. Changes in association

The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

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

6. Addresses

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

Name Addresses
Bank of America Corporation 100 North Tryon Street, Charlotte, North Carolina, 28255, USA
Merrill Lynch (Australia) Futures Ltd Level 38, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000,Australia
Merrill Lynch (Australia) Nominees Pty Ltd Level 19, 120 Collins St, Melbourne Vic 3000, Australia
Merrill Lynch International (Australia) Ltd Level 38, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000,Australia
Merrill Lynch International 2 King Edward Street, London, England, EC1A 1HQ, United
Kingdom.

SIGNATURE

Print Name:
Sign Here:		 Kelvin Kwok
Capacity:
Authorised signatory
Date:
20 November 2019
**Date of change ** Person whose relevant interest changed Nature of change (4) Consideration
(5)		 Class (6) of
securites		 Securities
affected		 Person's votes
affected		 Remark
10/07/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (206,572) (206,572) RefertoApp. B
10/07/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (793,604) (793,604) RefertoApp. B
10/08/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 361,031 361,031 RefertoApp. B
10/09/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (361,031) (361,031) RefertoApp. B
10/10/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 613,930 613,930 RefertoApp. B
10/11/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (115,082) (115,082) RefertoApp. B
10/14/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (7,354) (7,354) RefertoApp. B
10/15/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (13,162) (13,162) Refer to App. B
10/16/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (76,083) (76,083) RefertoApp. B
10/16/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 62,696 62,696 RefertoApp. B
10/17/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (28,793) (28,793) RefertoApp. B
10/18/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (19,126) (19,126) RefertoApp. B
10/18/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (33,903) (33,903) RefertoApp. B
10/21/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (92,304) (92,304) RefertoApp. B
10/22/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (55,184) (55,184) RefertoApp. B
10/22/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (74,104) (74,104) RefertoApp. B
10/22/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 122,684 122,684 RefertoApp. B
10/23/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (122,684) (122,684) RefertoApp. B
10/23/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (6,604) (6,604) Refer to App. B
10/24/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (864,108) (864,108) RefertoApp. B
10/24/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (306,272) (306,272) RefertoApp. B
10/24/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (533,222) (533,222) RefertoApp. B
10/25/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (297,147) (297,147) RefertoApp. B
10/25/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 930,069 930,069 RefertoApp. B
11/05/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 206,572 206,572 RefertoApp. B
11/05/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (149,842) (149,842) RefertoApp. B
11/07/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 152,365 152,365 RefertoApp. B
11/11/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (11,695) (11,695) RefertoApp. B
11/12/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (15,834) (15,834) Refer to App. B
11/13/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 1,500,936 1,500,936 RefertoApp. B
11/14/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 97,373 97,373 RefertoApp. B
11/15/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 929,220 929,220 RefertoApp. B
11/12/2019 Merrill Lynch(Australia)FuturesLtd SELL (5,890) Ordinary (1,900) (1,900) N/A
11/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 13,363 Ordinary 4,332 4,332 N/A
11/12/2019 Merrill Lynch(Australia)FuturesLtd SELL (20,355) Ordinary (6,616) (6,616) N/A
11/12/2019 Merrill Lynch(Australia)FuturesLtd SELL (570) Ordinary (184) (184) N/A
11/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 18,359 Ordinary 6,079 6,079 N/A
11/12/2019 Merrill Lynch(Australia)FuturesLtd SELL (46) Ordinary (15) (15) N/A
11/13/2019 Merrill Lynch(Australia)FuturesLtd SELL (18,168) Ordinary (6,025) (6,025) N/A
11/13/2019 Merrill Lynch(Australia)FuturesLtd BUY 433 Ordinary 144 144 N/A
11/13/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,383 Ordinary 446 446 N/A
11/13/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,968) Ordinary (643) (643) N/A
11/14/2019 Merrill Lynch (Australia) Futures Ltd SELL (12,909) Ordinary (4,200) (4,200) N/A
11/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 24,092 Ordinary 8,036 8,036 N/A
11/14/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,019) Ordinary (340) (340) N/A
11/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 690 Ordinary 230 230 N/A
11/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (690) Ordinary (238) (238) N/A
11/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 937 Ordinary 330 330 N/A
11/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (82,605) Ordinary (29,099) (29,099) N/A
11/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,529 Ordinary 900 900 N/A
11/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 83,805 Ordinary 29,099 29,099 N/A
10/7/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,702 Ordinary 500 500 N/A
10/8/2019 Merrill Lynch(Australia)FuturesLtd BUY 22,373 Ordinary 6,567 6,567 N/A
10/8/2019 Merrill Lynch (Australia) Futures Ltd SELL (7,139) Ordinary (2,092) (2,092) N/A
10/8/2019 Merrill Lynch(Australia)FuturesLtd BUY 303 Ordinary 89 89 N/A
10/8/2019 Merrill Lynch (Australia) Futures Ltd SELL (9,214) Ordinary (2,708) (2,708) N/A
10/9/2019 Merrill Lynch(Australia)FuturesLtd SELL (9,211) Ordinary (2,685) (2,685) N/A
10/9/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,499 Ordinary 437 437 N/A
10/9/2019 Merrill Lynch(Australia)FuturesLtd SELL (6,108) Ordinary (1,787) (1,787) N/A
10/10/2019 Merrill Lynch(Australia)FuturesLtd SELL (3,137) Ordinary (895) (895) N/A
10/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 21,718 Ordinary 6,295 6,295 N/A
10/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,799 Ordinary 1,670 1,670 N/A
10/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,079 Ordinary 303 303 N/A
10/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,314,359 Ordinary 2,120,104 2,120,104 N/A
10/11/2019 Merrill Lynch(Australia)FuturesLtd SELL (24,838) Ordinary (7,175) (7,175) N/A
10/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 972 Ordinary 285 285 N/A
10/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 53,343 Ordinary 15,952 15,952 N/A
10/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,420 Ordinary 1,300 1,300 N/A
10/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,665,000 Ordinary 500,000 500,000 N/A
10/14/2019 Merrill Lynch(Australia)FuturesLtd SELL (3,882) Ordinary (1,178) (1,178) N/A
10/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,873 Ordinary 1,163 1,163 N/A
10/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,344 Ordinary 406 406 N/A
10/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 16,153 Ordinary 5,000 5,000 N/A
10/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,214 Ordinary 1,000 1,000 N/A
10/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 593,850 Ordinary 185,000 185,000 N/A
10/15/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,514 Ordinary 1,100 1,100 N/A
10/15/2019 Merrill Lynch(Australia)FuturesLtd SELL (8,116) Ordinary (2,449) (2,449) N/A
10/15/2019 Merrill Lynch (Australia) Futures Ltd BUY 2,181 Ordinary 669 669 N/A
10/15/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,757 Ordinary 544 544 N/A
10/15/2019 Merrill Lynch (Australia) Futures Ltd BUY 1,482 Ordinary 463 463 N/A
10/15/2019 Merrill Lynch(Australia)FuturesLtd BUY 193,800 Ordinary 60,000 60,000 N/A
10/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,249 Ordinary 389 389 N/A
10/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,036 Ordinary 303 303 N/A
10/16/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,307) Ordinary (389) (389) N/A
10/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,926 Ordinary 560 560 N/A
10/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 12,252 Ordinary 3,618 3,618 N/A
10/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 17,071 Ordinary 5,021 5,021 N/A
10/17/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,810) Ordinary (544) (544) N/A
10/17/2019 Merrill Lynch(Australia)FuturesLtd BUY 10,343 Ordinary 3,106 3,106 N/A
10/17/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,002) Ordinary (301) (301) N/A
10/17/2019 Merrill Lynch (Australia) Futures Ltd BUY 541 Ordinary 163 163 N/A
10/17/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,677) Ordinary (505) (505) N/A
10/17/2019 Merrill Lynch (Australia) Futures Ltd BUY 5,252 Ordinary 1,596 1,596 N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 55,295 Ordinary 15,313 15,313 N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (10,196) Ordinary (2,871) (2,871) N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,103 Ordinary 315 315 N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,095 Ordinary 311 311 N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (8,663) Ordinary (2,440) (2,440) N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (6,591) Ordinary (1,863) (1,863) N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (14,532) Ordinary (4,152) (4,152) N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 564 Ordinary 157 157 N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 13,281 Ordinary 3,700 3,700 N/A
10/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,743,004) Ordinary (491,971) (491,971) N/A
10/21/2019 Merrill Lynch(Australia)FuturesLtd SELL (3,624) Ordinary (1,015) (1,015) N/A
10/21/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,808 Ordinary 1,091 1,091 N/A
10/21/2019 Merrill Lynch(Australia)FuturesLtd SELL (4,444) Ordinary (1,238) (1,238) N/A
10/21/2019 Merrill Lynch(Australia)FuturesLtd SELL (9,612) Ordinary (2,700) (2,700) N/A
10/21/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,289 Ordinary 2,065 2,065 N/A
10/21/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,612 Ordinary 2,200 2,200 N/A
10/22/2019 Merrill Lynch(Australia)FuturesLtd SELL (16,881) Ordinary (4,521) (4,521) N/A
10/22/2019 Merrill Lynch(Australia)FuturesLtd SELL (7,391) Ordinary (2,053) (2,053) N/A
10/22/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,383 Ordinary 380 380 N/A
10/22/2019 Merrill Lynch(Australia)FuturesLtd SELL (16,470) Ordinary (4,500) (4,500) N/A
10/22/2019 Merrill Lynch(Australia)FuturesLtd BUY 8,248 Ordinary 2,203 2,203 N/A
10/22/2019 Merrill Lynch (Australia) Futures Ltd BUY 28,744 Ordinary 7,761 7,761 N/A
10/22/2019 Merrill Lynch(Australia)FuturesLtd BUY 53,470 Ordinary 14,034 14,034 N/A
10/22/2019 Merrill Lynch (Australia) Futures Ltd BUY 14,530 Ordinary 3,885 3,885 N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd SELL (8,185) Ordinary (2,196) (2,196) N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 16,214 Ordinary 4,391 4,391 N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,724 Ordinary 1,001 1,001 N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,019 Ordinary 543 543 N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd SELL (8,402) Ordinary (2,211) (2,211) N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 46 Ordinary 12 12 N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 679 Ordinary 184 184 N/A
10/23/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,932) Ordinary (525) (525) N/A
10/24/2019 Merrill Lynch(Australia)FuturesLtd SELL (10,102) Ordinary (2,724) (2,724) N/A
10/24/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,665 Ordinary 445 445 N/A
10/24/2019 Merrill Lynch (Australia) Futures Ltd BUY 159 Ordinary 43 43 N/A
10/24/2019 Merrill Lynch(Australia)FuturesLtd BUY 748 Ordinary 200 200 N/A
10/24/2019 Merrill Lynch (Australia) Futures Ltd SELL (9,407) Ordinary (2,542) (2,542) N/A
10/24/2019 Merrill Lynch(Australia)FuturesLtd SELL (2,959) Ordinary (804) (804) N/A
10/25/2019 Merrill Lynch(Australia)FuturesLtd SELL (6,971) Ordinary (1,849) (1,849) N/A
10/25/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,101 Ordinary 563 563 N/A
10/25/2019 Merrill Lynch(Australia)FuturesLtd BUY 102 Ordinary 28 28 N/A
10/25/2019 Merrill Lynch(Australia)FuturesLtd SELL (5,319) Ordinary (1,470) (1,470) N/A
10/25/2019 Merrill Lynch(Australia)FuturesLtd BUY 720 Ordinary 192 192 N/A
10/25/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,421 Ordinary 920 920 N/A
10/28/2019 Merrill Lynch(Australia)FuturesLtd BUY 8,215 Ordinary 2,359 2,359 N/A
10/28/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,373) Ordinary (386) (386) N/A
10/28/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,516 Ordinary 1,000 1,000 N/A
10/28/2019 Merrill Lynch(Australia)FuturesLtd BUY 728 Ordinary 201 201 N/A
10/28/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,815 Ordinary 517 517 N/A
10/28/2019 Merrill Lynch(Australia)FuturesLtd SELL (15,838) Ordinary (4,449) (4,449) N/A
10/29/2019 Merrill Lynch(Australia)FuturesLtd BUY 727 Ordinary 210 210 N/A
10/29/2019 Merrill Lynch(Australia)FuturesLtd SELL (9,509) Ordinary (2,749) (2,749) N/A
10/29/2019 Merrill Lynch(Australia)FuturesLtd SELL (3,903) Ordinary (1,138) (1,138) N/A
10/29/2019 Merrill Lynch(Australia)FuturesLtd BUY 89 Ordinary 26 26 N/A
10/29/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,885) Ordinary (543) (543) N/A
10/30/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,166) Ordinary (351) (351) N/A
10/30/2019 Merrill Lynch(Australia)FuturesLtd SELL (82,825) Ordinary (24,328) (24,328) N/A
10/30/2019 Merrill Lynch(Australia)FuturesLtd SELL (4,857) Ordinary (1,452) (1,452) N/A
10/30/2019 Merrill Lynch (Australia) Futures Ltd BUY 493 Ordinary 145 145 N/A
10/30/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,567 Ordinary 461 461 N/A
10/30/2019 Merrill Lynch (Australia) Futures Ltd BUY 2,397 Ordinary 722 722 N/A
10/30/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,669 Ordinary 500 500 N/A
10/31/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,080 Ordinary 1,530 1,530 N/A
10/31/2019 Merrill Lynch(Australia)FuturesLtd BUY 336 Ordinary 97 97 N/A
10/31/2019 Merrill Lynch(Australia)FuturesLtd SELL (6,013) Ordinary (1,718) (1,718) N/A
10/31/2019 Merrill Lynch(Australia)FuturesLtd SELL (5,276) Ordinary (1,530) (1,530) N/A
10/31/2019 Merrill Lynch(Australia)FuturesLtd SELL (5,025) Ordinary (1,500) (1,500) N/A
10/31/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,482 Ordinary 427 427 N/A
11/1/2019 Merrill Lynch(Australia)FuturesLtd BUY 19,044 Ordinary 5,668 5,668 N/A
11/4/2019 Merrill Lynch(Australia)FuturesLtd BUY 13,022 Ordinary 3,884 3,884 N/A
11/4/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,407) Ordinary (420) (420) N/A
11/4/2019 Merrill Lynch (Australia) Futures Ltd SELL (17,297) Ordinary (5,215) (5,215) N/A
11/5/2019 Merrill Lynch(Australia)FuturesLtd SELL (17,394) Ordinary (5,303) (5,303) N/A
11/5/2019 Merrill Lynch (Australia) Futures Ltd BUY 3,280 Ordinary 982 982 N/A
11/6/2019 Merrill Lynch(Australia)FuturesLtd SELL (51) Ordinary (16) (16) N/A
11/6/2019 Merrill Lynch(Australia)FuturesLtd BUY 121 Ordinary 38 38 N/A
11/6/2019 Merrill Lynch(Australia)FuturesLtd BUY 665 Ordinary 202 202 N/A
11/6/2019 Merrill Lynch(Australia)FuturesLtd BUY 13,844 Ordinary 4,297 4,297 N/A
11/7/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,283) Ordinary (414) (414) N/A
11/7/2019 Merrill Lynch(Australia)FuturesLtd SELL (4,236) Ordinary (1,371) (1,371) N/A
11/7/2019 Merrill Lynch(Australia)FuturesLtd BUY 10,434 Ordinary 3,383 3,383 N/A
11/8/2019 Merrill Lynch(Australia)FuturesLtd SELL (845) Ordinary (274) (274) N/A
11/8/2019 Merrill Lynch(Australia)FuturesLtd SELL (21,002) Ordinary (6,895) (6,895) N/A
11/8/2019 Merrill Lynch(Australia)FuturesLtd BUY 10,271 Ordinary 3,362 3,362 N/A
11/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,184 Ordinary 1,049 1,049 N/A
11/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 721 Ordinary 238 238 N/A
11/11/2019 Merrill Lynch(Australia)FuturesLtd SELL (9,342) Ordinary (3,063) (3,063) N/A
11/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,731 Ordinary 1,900 1,900 N/A
11/11/2019 Merrill Lynch(Australia)FuturesLtd SELL (673) Ordinary (223) (223) N/A
11/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 14,529 Ordinary 4,800 4,800 N/A
10/28/2019 Merrill Lynch International BUY 323 Ordinary 93 93 N/A
10/28/2019 Merrill Lynch International BUY 31 Ordinary 9 9 N/A
10/28/2019 Merrill Lynch International BUY 121 Ordinary 33 33 N/A
10/28/2019 Merrill Lynch International BUY 1,028 Ordinary 280 280 N/A
10/28/2019 Merrill Lynch International BUY 422 Ordinary 116 116 N/A
10/28/2019 Merrill Lynch International BUY 785 Ordinary 215 215 N/A
10/28/2019 Merrill Lynch International BUY 1,507 Ordinary 413 413 N/A
10/28/2019 Merrill Lynch International BUY 608 Ordinary 167 167 N/A
10/28/2019 Merrill Lynch International BUY 617 Ordinary 170 170 N/A
10/28/2019 Merrill Lynch International BUY 4 Ordinary 1 1 N/A
10/28/2019 Merrill Lynch International BUY 793 Ordinary 222 222 N/A
10/28/2019 Merrill Lynch International BUY 4,177 Ordinary 1,154 1,154 N/A
10/28/2019 Merrill Lynch International BUY 1,882 Ordinary 520 520 N/A
10/28/2019 Merrill Lynch International BUY 279 Ordinary 77 77 N/A
10/28/2019 Merrill Lynch International BUY 939 Ordinary 260 260 N/A
10/28/2019 Merrill Lynch International BUY 778 Ordinary 216 216 N/A
10/28/2019 Merrill Lynch International BUY 787 Ordinary 221 221 N/A
10/28/2019 Merrill Lynch International BUY 772 Ordinary 220 220 N/A
10/28/2019 Merrill Lynch International BUY 772 Ordinary 220 220 N/A
10/28/2019 Merrill Lynch International BUY 764 Ordinary 217 217 N/A
10/28/2019 Merrill Lynch International BUY 183 Ordinary 52 52 N/A
10/28/2019 Merrill Lynch International BUY 1,306 Ordinary 370 370 N/A
10/28/2019 Merrill Lynch International BUY 229 Ordinary 65 65 N/A
10/28/2019 Merrill Lynch International BUY 18 Ordinary 5 5 N/A
10/28/2019 Merrill Lynch International BUY 579 Ordinary 165 165 N/A
10/28/2019 Merrill Lynch International BUY 2,187 Ordinary 623 623 N/A
10/28/2019 Merrill Lynch International BUY 875 Ordinary 250 250 N/A
10/28/2019 Merrill Lynch International BUY 2,032 Ordinary 584 584 N/A
10/28/2019 Merrill Lynch International BUY 1,467 Ordinary 419 419 N/A
10/28/2019 Merrill Lynch International BUY 98 Ordinary 28 28 N/A
10/28/2019 Merrill Lynch International BUY 77 Ordinary 22 22 N/A
10/28/2019 Merrill Lynch International BUY 420 Ordinary 120 120 N/A
10/28/2019 Merrill Lynch International BUY 161 Ordinary 46 46 N/A
10/28/2019 Merrill Lynch International BUY 14 Ordinary 4 4 N/A
10/28/2019 Merrill Lynch International BUY 190 Ordinary 54 54 N/A
10/28/2019 Merrill Lynch International BUY 298 Ordinary 85 85 N/A
10/28/2019 Merrill Lynch International BUY 414 Ordinary 118 118 N/A
10/28/2019 Merrill Lynch International BUY 35 Ordinary 10 10 N/A
10/28/2019 Merrill Lynch International BUY 4 Ordinary 1 1 N/A
10/28/2019 Merrill Lynch International BUY 417 Ordinary 119 119 N/A
10/28/2019 Merrill Lynch International BUY 1,432 Ordinary 409 409 N/A
10/28/2019 Merrill Lynch International BUY 322 Ordinary 92 92 N/A
10/28/2019 Merrill Lynch International BUY 441 Ordinary 126 126 N/A
10/28/2019 Merrill Lynch International BUY 982 Ordinary 283 283 N/A
10/28/2019 Merrill Lynch International BUY 7 Ordinary 2 2 N/A
10/28/2019 Merrill Lynch International BUY 302 Ordinary 87 87 N/A
10/28/2019 Merrill Lynch International BUY 87 Ordinary 25 25 N/A
10/28/2019 Merrill Lynch International BUY 10 Ordinary 3 3 N/A
10/28/2019 Merrill Lynch International BUY 10 Ordinary 3 3 N/A
10/28/2019 Merrill Lynch International BUY 17 Ordinary 5 5 N/A
10/28/2019 Merrill Lynch International BUY 3 Ordinary 1 1 N/A
10/28/2019 Merrill Lynch International BUY 129 Ordinary 37 37 N/A
10/28/2019 Merrill Lynch International BUY 10 Ordinary 3 3 N/A
10/28/2019 Merrill Lynch International BUY 66 Ordinary 19 19 N/A
10/28/2019 Merrill Lynch International BUY 410 Ordinary 117 117 N/A
10/28/2019 Merrill Lynch International BUY 28 Ordinary 8 8 N/A
10/28/2019 Merrill Lynch International BUY 28 Ordinary 8 8 N/A
10/28/2019 Merrill Lynch International BUY 3 Ordinary 1 1 N/A
10/28/2019 Merrill Lynch International BUY 237 Ordinary 68 68 N/A
10/28/2019 Merrill Lynch International BUY 365 Ordinary 105 105 N/A
10/28/2019 Merrill Lynch International BUY 59 Ordinary 17 17 N/A
10/28/2019 Merrill Lynch International BUY 17 Ordinary 5 5 N/A
10/28/2019 Merrill Lynch International BUY 10 Ordinary 3 3 N/A
10/28/2019 Merrill Lynch International BUY 309 Ordinary 89 89 N/A
10/28/2019 Merrill Lynch International BUY 21 Ordinary 6 6 N/A
10/28/2019 Merrill Lynch International BUY 380 Ordinary 109 109 N/A
10/28/2019 Merrill Lynch International BUY 475 Ordinary 136 136 N/A
10/28/2019 Merrill Lynch International BUY 300 Ordinary 86 86 N/A
10/28/2019 Merrill Lynch International BUY 1,295 Ordinary 372 372 N/A

Appendix B-1: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International, Merrill Lynch International (Australia) Limited and Regal Funds
Management Pty Limited as Trustee of Regal Australian Long Short Equity Fund
Holder of voting rights Securities borrower. 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 borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will 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, Merrill Lynch International (Australia) Limited and Regal Funds
Management Pty Limited as Trustee of Tasman Market Neutral Fund
Holder of voting rights Securities borrower. 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 borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will 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 International (Australia) Limited and Regal Funds
Management Pty Limited as Trustee of Atlantic Absolute Return Fund
Holder of voting rights Securities borrower. 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 borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will 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 SSWTRADING
Holder of voting rights Securities borrower. 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 borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will 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 and Integrated Core Strategies(Asia)
Holder of voting rights Securities borrower. 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 borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will 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 and Equity Trustees Limited As Trustee And Responsible Entity Of
Regal Investment Fund
Holder of voting rights Securities borrower. 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 borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will 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 International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International andSUSQUEHANNA PACIFIC PTY LTD(SYD)
Holder of voting rights Securities borrower. 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 borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will 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

Appendix C
Related bodies corporate Incorporated ACN/Registration/Incorporation
**Number **
Merrill Lynch International United
Kingdom		 2312079
MLUKCapital Holdings United
Kingdom		 4971231
BofAML EMEA Holdings2 Limited United States 119605
Merrill Lynch(Australia)FuturesLimited Australia 003639674
Merrill Lynch International(Australia)Limited Australia 002892846
Merrill Lynch Markets (Australia)Pty. Limited Australia 075587816
Merrill Lynch(Australasia)Pty. Limited Australia 075923894
Bankof America Global Holdings,LLC United States 5169939
BofAMLJerseyHoldingsLimited Jersey 115831
NB Holdings Corporation United States 2361372
Bankof America Corporation United States N/A628

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