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Opthea Ltd Major Shareholding Notification 2019

Oct 7, 2019

32698_rns_2019-10-07_505f13ac-1f53-482f-9a68-e8bb2d7efae9.pdf

Major Shareholding Notification

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Form 603

Corporations Law Section 671B Notice of initial substantial holder

To: Company Name/Scheme OPTHEA LTD

ACN/ ~~ARSN~~

006 340 567

1. Details of substantial holder (1)

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

ACN/ARSN (if applicable)

The holder became a substantial holder on: 3 October 2019

2. Details of 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 on the date the substantial holder became a substantial holder are as follows:

follows:
Class of securities (4) Number of securities Persons’ votes (5) Voting power (6)
Ordinary 13,153,306 13,153,306 5.26%

3. Details of relevant interests

The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:

Holder of relevant interest Nature of relevant interest (7) Class and number of securities
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 11,396,271
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 1,378,471
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

4. Details of present registered holders

The persons registered as holders of the securities referred to in paragraph 3 above are as follows:

Holder of relevant
interest		 Registered holder of
securities		 Person entitled to be
registered as holder (8)		 Class and number of
securities
Merrill Lynch (Australia)
Futures Ltd		 Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch (Australia)
Futures Ltd		 Ordinary 11,396,271
Merrill Lynch International
(Australia) Ltd		 Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch International
(Australia) Ltd		 Ordinary 1,378,471
Merrill Lynch International Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch International Ordinary 378,564

5. Consideration

The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:

Holder of relevant interest Date of acquisition Consideration (9) Consideration (9) Class and number
of securities
Cash Non-cash
Please see Annexure A.

6. Associates

The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:

Name and ACN/ ARSN (if applicable)
Merrill Lynch (Australia) Futures Ltd
Merrill Lynch (Australia) Nominees Pty Ltd
Merrill Lynch International (Australia) Ltd
Merrill Lynch International		 Nature of association
Related body corporate
Related body corporate
Related body corporate
Related body corporate

7. Addresses

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

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

SIGNATURE

Print Name:
Sign Here:		 Kelvin Kwok
Capacity:
Authorised signatory
Date:
8 October 2019

Appendix A

Date of change Person whose relevant interest changed Nature of change (4) Consideration
(5)		 Class (6) of
securities		 Securities
affected		 Person's votes
affected		 Remark
6/7/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (500) (500) RefertoApp. B
6/12/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (916) (916) RefertoApp. B
6/17/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (5,952) (5,952) RefertoApp. B
6/27/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (2,602) (2,602) RefertoApp. B
6/27/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (839) (839) RefertoApp. B
8/15/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 828,236 828,236 RefertoApp. B
8/19/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (206,488) (206,488) RefertoApp. B
8/19/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (593,512) (593,512) RefertoApp. B
8/20/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 689,968 689,968 RefertoApp. B
8/21/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (423,243) (423,243) Refer to App. B
8/21/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (267,464) (267,464) RefertoApp. B
8/22/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 1,570,937 1,570,937 RefertoApp. B
8/23/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (470,851) (470,851) RefertoApp. B
8/23/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (422,504) (422,504) RefertoApp. B
8/26/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 866,012 866,012 RefertoApp. B
8/27/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (316,363) (316,363) RefertoApp. B
8/29/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 499,009 499,009 RefertoApp. B
8/30/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (41,022) (41,022) RefertoApp. B
8/30/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (57,487) (57,487) RefertoApp. B
9/2/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 164,683 164,683 RefertoApp. B
9/3/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (15,216) (15,216) RefertoApp. B
9/4/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (125,980) (125,980) RefertoApp. B
9/5/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 90,956 90,956 RefertoApp. B
9/6/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (23,487) (23,487) Refer to App. B
9/6/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (90,956) (90,956) RefertoApp. B
9/6/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (192,441) (192,441) RefertoApp. B
9/6/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (866,012) (866,012) RefertoApp. B
9/6/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (441,522) (441,522) RefertoApp. B
9/9/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (25) (25) RefertoApp. B
9/10/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 78,455 78,455 RefertoApp. B
9/10/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (25) (25) RefertoApp. B
9/11/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (76,155) (76,155) RefertoApp. B
9/11/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (149,985) (149,985) RefertoApp. B
9/11/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (2,300) (2,300) RefertoApp. B
9/12/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 152,310 152,310 Refer to App. B
9/13/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (1,880) (1,880) RefertoApp. B
9/17/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (1,880) (1,880) RefertoApp. B
9/17/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (10,189) (10,189) RefertoApp. B
9/18/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 73,622 73,622 RefertoApp. B
9/18/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (126,050) (126,050) RefertoApp. B
9/19/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 48,019 48,019 RefertoApp. B
9/19/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (54,262) (54,262) RefertoApp. B
9/19/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (12,311) (12,311) RefertoApp. B
9/19/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (73,622) (73,622) RefertoApp. B
9/20/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (910) (910) Refer to App. B
9/23/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (4,650) (4,650) RefertoApp. B
9/23/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (910) (910) RefertoApp. B
9/24/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (41,549) (41,549) RefertoApp. B
9/26/2019 Merrill Lynch International (Australia)
Limited		 Securities
returned		 N/A Ordinary (2,300) (2,300) RefertoApp. B
9/26/2019 Merrill Lynch International (Australia)
Limited		 Securities
borrowed		 N/A Ordinary 206,572 206,572 RefertoApp. B
9/2/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 128,000 128,000 RefertoApp. B
9/3/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 127,972 127,972 RefertoApp. B
9/4/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 127,972 127,972 RefertoApp. B
9/4/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 255,972 255,972 RefertoApp. B
9/4/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (128,000) (128,000) RefertoApp. B
9/4/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (127,972) (127,972) Refer to App. B
9/5/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 904,948 904,948 RefertoApp. B
9/5/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 688 688 RefertoApp. B
9/5/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 383,944 383,944 RefertoApp. B
9/5/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (127,972) (127,972) RefertoApp. B
9/5/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (255,972) (255,972) RefertoApp. B
9/6/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (687) (687) RefertoApp. B
9/6/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (904,948) (904,948) RefertoApp. B
9/9/2019 Merrill Lynch International Securities
borrowed		 N/A Ordinary 383,945 383,945 RefertoApp. B
9/9/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (1) (1) RefertoApp. B
9/9/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (383,944) (383,944) Refer to App. B
9/12/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (605) (605) RefertoApp. B
9/19/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (305) (305) RefertoApp. B
9/27/2019 Merrill Lynch International Securities
returned		 N/A Ordinary (4,471) (4,471) RefertoApp. B
8/26/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,857 Ordinary 3,022 3,022 N/A
8/26/2019 Merrill Lynch(Australia)FuturesLtd BUY 11,714 Ordinary 4,538 4,538 N/A
8/27/2019 Merrill Lynch(Australia)FuturesLtd BUY 12,393 Ordinary 4,494 4,494 N/A
8/27/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,829 Ordinary 1,756 1,756 N/A
8/27/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,350,000) Ordinary (500,000) (500,000) N/A
8/28/2019 Merrill Lynch (Australia) Futures Ltd BUY 10,825 Ordinary 3,414 3,414 N/A
8/28/2019 Merrill Lynch(Australia)FuturesLtd BUY 12,141 Ordinary 3,929 3,929 N/A
8/29/2019 Merrill Lynch(Australia)FuturesLtd BUY 11,324 Ordinary 3,595 3,595 N/A
8/29/2019 Merrill Lynch(Australia)FuturesLtd BUY 8,188 Ordinary 2,603 2,603 N/A
8/30/2019 Merrill Lynch(Australia)FuturesLtd BUY 10,711 Ordinary 3,159 3,159 N/A
8/30/2019 Merrill Lynch (Australia) Futures Ltd BUY 5,244 Ordinary 1,528 1,528 N/A
9/2/2019 Merrill Lynch(Australia)FuturesLtd BUY 12,481 Ordinary 3,323 3,323 N/A
9/2/2019 Merrill Lynch(Australia)FuturesLtd BUY 14,139 Ordinary 3,660 3,660 N/A
9/3/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,001 Ordinary 1,032 1,032 N/A
9/3/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,251 Ordinary 1,435 1,435 N/A
9/4/2019 Merrill Lynch(Australia)FuturesLtd BUY 8,331 Ordinary 2,204 2,204 N/A
9/4/2019 Merrill Lynch(Australia)FuturesLtd BUY 8,307 Ordinary 2,147 2,147 N/A
9/4/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,366 Ordinary 900 900 N/A
9/5/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,340 Ordinary 2,036 2,036 N/A
9/5/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,875 Ordinary 1,300 1,300 N/A
9/6/2019 Merrill Lynch(Australia)FuturesLtd BUY 9,828 Ordinary 2,600 2,600 N/A
9/6/2019 Merrill Lynch(Australia)FuturesLtd BUY 8,495 Ordinary 2,218 2,218 N/A
9/6/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,306 Ordinary 340 340 N/A
9/9/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,191 Ordinary 1,874 1,874 N/A
9/9/2019 Merrill Lynch(Australia)FuturesLtd SELL (4,191) Ordinary (1,100) (1,100) N/A
9/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 687 Ordinary 192 192 N/A
9/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,503 Ordinary 1,822 1,822 N/A
9/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,187 Ordinary 1,789 1,789 N/A
9/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,139 Ordinary 629 629 N/A
9/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 136 Ordinary 41 41 N/A
9/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 20 Ordinary 6 6 N/A
9/13/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,215 Ordinary 1,811 1,811 N/A
6/3/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,219 Ordinary 1,966 1,966 N/A
6/3/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,229) Ordinary (1,966) (1,966) N/A
6/6/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,263 Ordinary 1,858 1,858 N/A
6/6/2019 Merrill Lynch (Australia) Futures Ltd BUY 856 Ordinary 1,259 1,259 N/A
6/7/2019 Merrill Lynch(Australia)FuturesLtd BUY 926 Ordinary 1,362 1,362 N/A
6/7/2019 Merrill Lynch(Australia)FuturesLtd BUY 627 Ordinary 922 922 N/A
6/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 749 Ordinary 1,070 1,070 N/A
6/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 493 Ordinary 725 725 N/A
6/12/2019 Merrill Lynch (Australia) Futures Ltd BUY 474 Ordinary 707 707 N/A
6/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 699 Ordinary 1,043 1,043 N/A
6/13/2019 Merrill Lynch(Australia)FuturesLtd BUY 603 Ordinary 914 914 N/A
6/13/2019 Merrill Lynch(Australia)FuturesLtd BUY 888 Ordinary 1,345 1,345 N/A
6/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 608 Ordinary 980 980 N/A
6/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 909 Ordinary 1,443 1,443 N/A
6/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 813 Ordinary 1,300 1,300 N/A
6/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,191 Ordinary 1,906 1,906 N/A
6/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,331 Ordinary 2,182 2,182 N/A
6/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 906 Ordinary 1,486 1,486 N/A
6/21/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,363 Ordinary 2,199 2,199 N/A
6/24/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,419 Ordinary 2,253 2,253 N/A
6/25/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,556 Ordinary 2,530 2,530 N/A
6/26/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,815 Ordinary 2,836 2,836 N/A
6/26/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,103 Ordinary 1,710 1,710 N/A
6/27/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,657 Ordinary 2,437 2,437 N/A
6/28/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,646 Ordinary 2,463 2,463 N/A
7/2/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,226 Ordinary 1,830 1,830 N/A
7/2/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,579 Ordinary 2,357 2,357 N/A
7/3/2019 Merrill Lynch (Australia) Futures Ltd BUY 950 Ordinary 1,418 1,418 N/A
7/3/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,168 Ordinary 1,741 1,741 N/A
7/4/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,040 Ordinary 1,507 1,507 N/A
7/4/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,278 Ordinary 1,879 1,879 N/A
7/5/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,149 Ordinary 1,574 1,574 N/A
7/5/2019 Merrill Lynch(Australia)FuturesLtd BUY 957 Ordinary 1,311 1,311 N/A
7/8/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,173 Ordinary 1,524 1,524 N/A
7/8/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,035 Ordinary 1,336 1,336 N/A
7/9/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,115 Ordinary 1,445 1,445 N/A
7/9/2019 Merrill Lynch(Australia)FuturesLtd SELL (4,663) Ordinary (6,089) (6,089) N/A
7/9/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,249 Ordinary 6,817 6,817 N/A
7/9/2019 Merrill Lynch(Australia)FuturesLtd BUY 958 Ordinary 1,236 1,236 N/A
7/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 977 Ordinary 1,261 1,261 N/A
7/10/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,230 Ordinary 1,566 1,566 N/A
7/10/2019 Merrill Lynch (Australia) Futures Ltd SELL (563) Ordinary (728) (728) N/A
7/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 909 Ordinary 1,069 1,069 N/A
7/11/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,154 Ordinary 1,358 1,358 N/A
7/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,046 Ordinary 1,308 1,308 N/A
7/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,286 Ordinary 1,568 1,568 N/A
7/15/2019 Merrill Lynch (Australia) Futures Ltd BUY 1,028 Ordinary 1,277 1,277 N/A
7/15/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,236 Ordinary 1,545 1,545 N/A
7/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,146 Ordinary 1,442 1,442 N/A
7/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,448 Ordinary 1,810 1,810 N/A
7/17/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,389 Ordinary 1,725 1,725 N/A
7/17/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,072 Ordinary 1,332 1,332 N/A
7/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,398 Ordinary 1,748 1,748 N/A
7/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,064 Ordinary 1,332 1,332 N/A
7/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 987 Ordinary 1,234 1,234 N/A
7/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,281 Ordinary 1,601 1,601 N/A
7/22/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,858 Ordinary 4,823 4,823 N/A
7/22/2019 Merrill Lynch(Australia)FuturesLtd SELL (1,953) Ordinary (2,411) (2,411) N/A
7/22/2019 Merrill Lynch(Australia)FuturesLtd BUY 966 Ordinary 1,178 1,178 N/A
7/23/2019 Merrill Lynch(Australia)FuturesLtd SELL (3,652) Ordinary (4,360) (4,360) N/A
7/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,607 Ordinary 1,948 1,948 N/A
8/7/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,953 Ordinary 2,464 2,464 N/A
8/7/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,668 Ordinary 3,206 3,206 N/A
8/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,769 Ordinary 1,920 1,920 N/A
8/12/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,974 Ordinary 700 700 N/A
8/13/2019 Merrill Lynch (Australia) Futures Ltd BUY 7,652 Ordinary 2,886 2,886 N/A
8/13/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,601 Ordinary 2,525 2,525 N/A
8/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,200 Ordinary 1,567 1,567 N/A
8/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 9,693 Ordinary 3,681 3,681 N/A
8/15/2019 Merrill Lynch(Australia)FuturesLtd BUY 9,514 Ordinary 3,705 3,705 N/A
8/15/2019 Merrill Lynch(Australia)FuturesLtd BUY 10,654 Ordinary 4,150 4,150 N/A
8/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,521 Ordinary 1,374 1,374 N/A
8/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,215 Ordinary 1,621 1,621 N/A
8/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,113 Ordinary 1,908 1,908 N/A
8/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,146 Ordinary 2,286 2,286 N/A
8/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,640,000 Ordinary 1,000,000 1,000,000 N/A
8/20/2019 Merrill Lynch(Australia)FuturesLtd BUY 10,912 Ordinary 3,994 3,994 N/A
8/20/2019 Merrill Lynch(Australia)FuturesLtd BUY 12,586 Ordinary 4,635 4,635 N/A
8/21/2019 Merrill Lynch(Australia)FuturesLtd BUY 10,711 Ordinary 3,958 3,958 N/A
8/21/2019 Merrill Lynch (Australia) Futures Ltd BUY 12,457 Ordinary 4,592 4,592 N/A
8/22/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,612 Ordinary 2,370 2,370 N/A
8/22/2019 Merrill Lynch(Australia)FuturesLtd BUY 8,602 Ordinary 3,083 3,083 N/A
8/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 140 Ordinary 53 53 N/A
8/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 37 Ordinary 14 14 N/A
8/23/2019 Merrill Lynch (Australia) Futures Ltd SELL (2,660,000) Ordinary (1,000,000) (1,000,000) N/A
9/13/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,163 Ordinary 2,017 2,017 N/A
9/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,083 Ordinary 1,805 1,805 N/A
9/16/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,066 Ordinary 1,496 1,496 N/A
9/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,484 Ordinary 1,469 1,469 N/A
9/19/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,631 Ordinary 974 974 N/A
9/23/2019 Merrill Lynch(Australia)FuturesLtd BUY 6,515 Ordinary 1,729 1,729 N/A
9/24/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,797,500 Ordinary 750,000 750,000 N/A
9/25/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,163 Ordinary 1,403 1,403 N/A
9/25/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,254 Ordinary 613 613 N/A
9/26/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,022 Ordinary 1,108 1,108 N/A
10/1/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,296,000 Ordinary 1,200,000 1,200,000 N/A
10/2/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,758 Ordinary 1,348 1,348 N/A
10/2/2019 Merrill Lynch(Australia)FuturesLtd SELL (17,945) Ordinary (5,127) (5,127) N/A
10/2/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,047 Ordinary 1,447 1,447 N/A
10/3/2019 Merrill Lynch(Australia)FuturesLtd BUY 14,593 Ordinary 4,400 4,400 N/A
10/3/2019 Merrill Lynch(Australia)FuturesLtd SELL (41) Ordinary (12) (12) N/A
10/3/2019 Merrill Lynch(Australia)FuturesLtd BUY 1,869 Ordinary 563 563 N/A
10/3/2019 Merrill Lynch(Australia)FuturesLtd BUY 11,293,838 Ordinary 3,467,239 3,467,239 N/A
9/30/2019 Merrill Lynch (Australia) Futures Ltd BUY 3,067 Ordinary 900 900 N/A
9/30/2019 Merrill Lynch(Australia)FuturesLtd BUY 30,914 Ordinary 9,228 9,228 N/A
9/30/2019 Merrill Lynch(Australia)FuturesLtd BUY 884 Ordinary 254 254 N/A
9/27/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,380 Ordinary 700 700 N/A
9/27/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,597 Ordinary 1,314 1,314 N/A
9/20/2019 Merrill Lynch(Australia)FuturesLtd BUY 3,550 Ordinary 957 957 N/A
9/20/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,050 Ordinary 1,097 1,097 N/A
9/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 4,818 Ordinary 1,258 1,258 N/A
9/18/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,112 Ordinary 1,312 1,312 N/A
9/18/2019 Merrill Lynch(Australia)FuturesLtd SELL (16,863) Ordinary (4,269) (4,269) N/A
9/17/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,771 Ordinary 1,581 1,581 N/A
9/17/2019 Merrill Lynch(Australia)FuturesLtd SELL (3,092) Ordinary (866) (866) N/A
8/15/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,630,000 Ordinary 1,000,000 1,000,000 N/A
8/14/2019 Merrill Lynch(Australia)FuturesLtd BUY 7,760,861 Ordinary 2,984,220 2,984,220 N/A
8/9/2019 Merrill Lynch (Australia) Futures Ltd BUY 4,554 Ordinary 1,693 1,693 N/A
10/1/2019 Merrill Lynch(Australia)FuturesLtd SELL (5,334) Ordinary (1,497) (1,497) N/A
10/1/2019 Merrill Lynch(Australia)FuturesLtd BUY 2,129 Ordinary 593 593 N/A
10/1/2019 Merrill Lynch(Australia)FuturesLtd BUY 5,783 Ordinary 1,657 1,657 N/A
10/1/2019 Merrill Lynch(Australia)FuturesLtd SELL (25,143) Ordinary (7,193) (7,193) 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
Susquehanna Pacific Pty Ltd
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 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-4: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International and Virtu Financial Asia Pty Ltd
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, 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-6: 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-7: 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-8: 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 InvestmentFund
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-9: Prescribed information

Type of agreement Securities Lending Agreement
Parties to agreement Merrill Lynch International and Millennium Capital
Management (Singapore)Pte. Ltd
Holder of voting rights Securities borrower. Securities lender may instruct the
registeredholdertovote onsecurities.
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

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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