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Opthea Ltd — Major Shareholding Notification 2020
Jun 21, 2020
32698_rns_2020-06-21_86e45b1a-99a5-41f5-ad9a-60c1f7c286e0.pdf
Major Shareholding Notification
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Form 604
Corporations Law Section 671B 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 June 2020
The previous notice was given to the company on
5 May 2020
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 | 17,205,374 | 6.39% | 19,952,692 | 7.41% |
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 Limited |
Merrill Lynch (Australia) Nominees Pty Ltd |
Merrill Lynch (Australia) Futures Limited |
Power to control voting and/or disposal of securities in its capacity as ultimate beneficial owner having a principal position. |
Ordinary 8,873,672 |
8,873,672 |
| 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 8,094,402 |
8,094,402 |
| Merrill Lynch International |
Merrill Lynch (Australia) Nominees Pty Ltd |
Merrill Lynch International |
Borrowing of securities pursuant to a Prime Brokerage or Stock Borrow Loan Agreement (see Appendix B), with power to control the voting and/or disposal of borrowed securities. |
Ordinary 2,953,456 |
2,953,456 |
| 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 31,162 |
31,162 |
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 Limited | 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: Kelvin Kwok Capacity: Authorised signatory Sign Here: Date: 22 June 2020
Appendix A
| 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 |
| 5/4/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (117) | (117) | Refer to App. B |
| 5/4/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (36,773) | Ordinary | (15,295) | (15,295) | N/A |
| 5/4/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 17,786 | Ordinary | 7,424 | 7,424 | N/A |
| 5/4/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (5,150) | Ordinary | (2,115) | (2,115) | N/A |
| 5/4/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 59,023 | Ordinary | 24,593 | 24,593 | N/A |
| 5/5/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 66,405 | 66,405 | Refer to App. B |
| 5/5/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (7,411) | (7,411) | Refer to App. B |
| 5/5/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (32,461) | Ordinary | (12,656) | (12,656) | N/A |
| 5/5/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (16,276) | Ordinary | (6,297) | (6,297) | N/A |
| 5/6/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (37,388) | (37,388) | Refer to App. B |
| 5/6/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (6,239) | (6,239) | Refer to App. B |
| 5/6/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (7,227) | (7,227) | Refer to App. B |
| 5/6/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (35,934) | Ordinary | (13,917) | (13,917) | N/A |
| 5/6/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (2,042) | Ordinary | (800) | (800) | N/A |
| 5/6/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 4,104 | Ordinary | 1,597 | 1,597 | N/A |
| 5/7/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 65,449 | 65,449 | Refer to App. B |
| 5/7/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (4,451) | (4,451) | Refer to App. B |
| 5/7/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (60,997) | (60,997) | Refer to App. B |
| 5/7/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 19,878 | Ordinary | 7,577 | 7,577 | N/A |
| 5/7/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (1,077) | Ordinary | (400) | (400) | N/A |
| 5/7/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (23,043) | Ordinary | (8,495) | (8,495) | N/A |
| 5/8/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (5,408) | (5,408) | Refer to App. B |
| 5/8/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (3,574) | (3,574) | Refer to App. B |
| 5/8/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (1) | (1) | Refer to App. B |
| 5/8/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 22,657 | Ordinary | 7,834 | 7,834 | N/A |
| 5/8/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 1,815 | Ordinary | 626 | 626 | N/A |
| 5/8/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (2,963) | Ordinary | (1,026) | (1,026) | N/A |
| 5/8/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (13,710) | Ordinary | (4,735) | (4,735) | N/A |
| 5/11/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (18,939) | Ordinary | (6,211) | (6,211) | N/A |
| 5/11/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 5,880 | Ordinary | 1,973 | 1,973 | N/A |
| 5/11/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 49,549 | Ordinary | 16,653 | 16,653 | N/A |
| 5/11/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (5,948) | Ordinary | (1,973) | (1,973) | N/A |
| 5/12/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (395) | (395) | Refer to App. B |
| 5/12/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (6,529) | (6,529) | Refer to App. B |
| 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 |
|---|---|---|---|---|---|---|---|
| 5/12/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 31,631 | Ordinary | 10,938 | 10,938 | N/A |
| 5/12/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (74,375) | Ordinary | (25,694) | (25,694) | N/A |
| 5/13/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (6,318) | (6,318) | Refer to App. B |
| 5/13/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (77,362) | Ordinary | (27,531) | (27,531) | N/A |
| 5/13/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 50,887 | Ordinary | 18,067 | 18,067 | N/A |
| 5/14/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (22,297) | Ordinary | (7,917) | (7,917) | N/A |
| 5/14/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 1,974 | Ordinary | 705 | 705 | N/A |
| 5/15/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (5,573) | (5,573) | Refer to App. B |
| 5/15/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (37,624) | Ordinary | (13,791) | (13,791) | N/A |
| 5/15/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 33,371 | Ordinary | 12,384 | 12,384 | N/A |
| 5/18/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (4,884) | (4,884) | Refer to App. B |
| 5/18/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 14,364 | Ordinary | 5,130 | 5,130 | N/A |
| 5/18/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 34,709 | Ordinary | 12,380 | 12,380 | N/A |
| 5/19/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (31,144) | (31,144) | Refer to App. B |
| 5/19/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (547) | (547) | Refer to App. B |
| 5/19/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 30,250 | Ordinary | 10,462 | 10,462 | N/A |
| 5/19/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (7,944) | Ordinary | (2,798) | (2,798) | N/A |
| 5/19/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (12,763) | Ordinary | (4,477) | (4,477) | N/A |
| 5/19/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 38,100 | Ordinary | 13,298 | 13,298 | N/A |
| 5/20/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 75,861 | 75,861 | Refer to App. B |
| 5/20/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (25,638) | (25,638) | Refer to App. B |
| 5/20/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (6,500) | (6,500) | Refer to App. B |
| 5/20/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (7,040) | Ordinary | (2,380) | (2,380) | N/A |
| 5/20/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 28,083 | Ordinary | 9,577 | 9,577 | N/A |
| 5/20/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 13,801 | Ordinary | 4,761 | 4,761 | N/A |
| 5/20/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (31,939) | Ordinary | (10,861) | (10,861) | N/A |
| 5/20/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (5,900,000) | Ordinary | (2,000,000) | (2,000,000) | N/A |
| 5/21/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (4,698) | (4,698) | Refer to App. B |
| 5/21/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (39,025) | (39,025) | Refer to App. B |
| 5/21/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (36,836) | (36,836) | Refer to App. B |
| 5/21/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (6,887) | (6,887) | Refer to App. B |
| 5/21/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (12,508) | Ordinary | (4,331) | (4,331) | N/A |
| 5/21/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 51,577 | Ordinary | 17,742 | 17,742 | N/A |
| 5/21/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (13,019) | Ordinary | (4,583) | (4,583) | N/A |
| 5/22/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 2,587,446 | 2,587,446 | Refer to App. B |
| 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 |
|---|---|---|---|---|---|---|---|
| 5/22/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (76,568) | (76,568) | Refer to App. B |
| 5/22/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (88,877) | Ordinary | (32,095) | (32,095) | N/A |
| 5/22/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 28,822 | Ordinary | 10,250 | 10,250 | N/A |
| 5/22/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (12,485) | Ordinary | (4,451) | (4,451) | N/A |
| 5/25/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (13,117) | (13,117) | Refer to App. B |
| 5/25/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (118,271) | (118,271) | Refer to App. B |
| 5/25/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (300,457) | (300,457) | Refer to App. B |
| 5/25/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (618,238) | (618,238) | Refer to App. B |
| 5/25/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (946,042) | (946,042) | Refer to App. B |
| 5/25/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (107,258) | (107,258) | Refer to App. B |
| 5/25/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (1,623) | (1,623) | Refer to App. B |
| 5/25/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (184,668) | Ordinary | (62,641) | (62,641) | N/A |
| 5/25/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (2,152) | Ordinary | (737) | (737) | N/A |
| 5/25/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 1,079 | Ordinary | 363 | 363 | N/A |
| 5/25/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 72,442 | Ordinary | 24,497 | 24,497 | N/A |
| 5/25/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (3,116,506) | Ordinary | (1,056,010) | (1,056,010) | N/A |
| 5/26/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 2,500,000 | 2,500,000 | Refer to App. B |
| 5/26/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (396,617) | (396,617) | Refer to App. B |
| 5/26/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (1,623) | (1,623) | Refer to App. B |
| 5/26/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (1,132) | Ordinary | (374) | (374) | N/A |
| 5/26/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 6,578 | Ordinary | 2,215 | 2,215 | N/A |
| 5/26/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (6,405) | Ordinary | (2,122) | (2,122) | N/A |
| 5/26/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (179,172) | Ordinary | (60,000) | (60,000) | N/A |
| 5/26/2020 | Merrill Lynch(Australia)Futures Limited | SELL | 179,172 | Ordinary | 60,000 | 60,000 | N/A |
| 5/27/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 33,507 | Ordinary | 11,675 | 11,675 | N/A |
| 5/27/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (365,889) | Ordinary | (124,597) | (124,597) | N/A |
| 5/28/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 351,289 | 351,289 | Refer to App. B |
| 5/28/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (578) | (578) | Refer to App. B |
| 5/28/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (13,339) | Ordinary | (4,604) | (4,604) | N/A |
| 5/28/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 12,059 | Ordinary | 4,129 | 4,129 | N/A |
| 5/28/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (17,105) | Ordinary | (5,837) | (5,837) | N/A |
| 5/28/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (130,105) | Ordinary | (44,535) | (44,535) | N/A |
| 5/28/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 4,656,000 | Ordinary | 1,600,000 | 1,600,000 | N/A |
| 5/29/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (5,883) | (5,883) | Refer to App. B |
| 5/29/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 115,883 | 115,883 | Refer to App. B |
| 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 |
|---|---|---|---|---|---|---|---|
| 5/29/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 37,854 | Ordinary | 12,737 | 12,737 | N/A |
| 5/29/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (9,774) | Ordinary | (3,302) | (3,302) | N/A |
| 5/29/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 46,486 | Ordinary | 15,260 | 15,260 | N/A |
| 5/29/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (113,785) | Ordinary | (37,670) | (37,670) | N/A |
| 6/1/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 428,941 | 428,941 | Refer to App. B |
| 6/1/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (241,289) | (241,289) | Refer to App. B |
| 6/1/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 5,678 | Ordinary | 1,899 | 1,899 | N/A |
| 6/1/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 3,420 | Ordinary | 1,140 | 1,140 | N/A |
| 6/1/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (68,586) | Ordinary | (20,990) | (20,990) | N/A |
| 6/1/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (28,112) | Ordinary | (8,776) | (8,776) | N/A |
| 6/2/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (3,306) | (3,306) | Refer to App. B |
| 6/2/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (100,811) | (100,811) | Refer to App. B |
| 6/2/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (80,144) | (80,144) | Refer to App. B |
| 6/2/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (519,464) | (519,464) | Refer to App. B |
| 6/2/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 635,347 | 635,347 | Refer to App. B |
| 6/2/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (115,883) | (115,883) | Refer to App. B |
| 6/2/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 4,627 | Ordinary | 1,402 | 1,402 | N/A |
| 6/2/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (100,215) | Ordinary | (30,196) | (30,196) | N/A |
| 6/2/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (12,676) | Ordinary | (3,818) | (3,818) | N/A |
| 6/2/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 38,059 | Ordinary | 11,429 | 11,429 | N/A |
| 6/3/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (348,797) | (348,797) | Refer to App. B |
| 6/3/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (824,869) | (824,869) | Refer to App. B |
| 6/3/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (1,066,485) | (1,066,485) | Refer to App. B |
| 6/3/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (8,070) | (8,070) | Refer to App. B |
| 6/3/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 52,552 | Ordinary | 15,358 | 15,358 | N/A |
| 6/3/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (25,847) | Ordinary | (7,624) | (7,624) | N/A |
| 6/3/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (46,114) | Ordinary | (13,579) | (13,579) | N/A |
| 6/3/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (74,560) | Ordinary | (21,794) | (21,794) | N/A |
| 6/4/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 1,327,904 | 1,327,904 | Refer to App. B |
| 6/4/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (111,677) | (111,677) | Refer to App. B |
| 6/4/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (8,321) | (8,321) | Refer to App. B |
| 6/4/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (28,191) | Ordinary | (8,509) | (8,509) | N/A |
| 6/4/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 100,773 | Ordinary | 30,693 | 30,693 | N/A |
| 6/4/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (12,854) | Ordinary | (3,904) | (3,904) | N/A |
| 6/4/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 854 | Ordinary | 249 | 249 | N/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 |
|---|---|---|---|---|---|---|---|
| 6/4/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (108,722) | Ordinary | (31,977) | (31,977) | N/A |
| 6/5/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 250,000 | 250,000 | Refer to App. B |
| 6/5/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (7,819) | Ordinary | (2,327) | (2,327) | N/A |
| 6/5/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 18,711 | Ordinary | 5,879 | 5,879 | N/A |
| 6/5/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (13,122) | Ordinary | (3,950) | (3,950) | N/A |
| 6/5/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 2,384,222 | Ordinary | 709,590 | 709,590 | N/A |
| 6/10/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 146,406 | Ordinary | 46,797 | 46,797 | N/A |
| 6/10/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (83,571) | Ordinary | (26,561) | (26,561) | N/A |
| 6/10/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 42,320 | Ordinary | 13,600 | 13,600 | N/A |
| 6/10/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (28) | Ordinary | (9) | (9) | N/A |
| 6/11/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (80,540) | (80,540) | Refer to App. B |
| 6/11/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (18,438) | (18,438) | Refer to App. B |
| 6/11/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 65,823 | 65,823 | Refer to App. B |
| 6/11/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 42,114 | Ordinary | 16,000 | 16,000 | N/A |
| 6/11/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 117,310 | Ordinary | 39,766 | 39,766 | N/A |
| 6/11/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (104,373) | Ordinary | (38,546) | (38,546) | N/A |
| 6/11/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 56,143 | Ordinary | 19,943 | 19,943 | N/A |
| 6/11/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (552,277) | Ordinary | (203,862) | (203,862) | N/A |
| 6/12/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (231,562) | (231,562) | Refer to App. B |
| 6/12/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (723,790) | (723,790) | Refer to App. B |
| 6/12/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (604,114) | (604,114) | Refer to App. B |
| 6/12/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (175,909) | (175,909) | Refer to App. B |
| 6/12/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 74,064 | 74,064 | Refer to App. B |
| 6/12/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 42,663 | Ordinary | 17,751 | 17,751 | N/A |
| 6/12/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (233,918) | Ordinary | (98,057) | (98,057) | N/A |
| 6/12/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 28,118 | Ordinary | 11,720 | 11,720 | N/A |
| 6/12/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (3,023) | Ordinary | (1,219) | (1,219) | N/A |
| 6/12/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 2,400,000 | Ordinary | 1,000,000 | 1,000,000 | N/A |
| 6/15/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 955,352 | 955,352 | Refer to App. B |
| 6/15/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (524,307) | (524,307) | Refer to App. B |
| 6/15/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (618,956) | (618,956) | Refer to App. B |
| 6/15/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (65,823) | (65,823) | Refer to App. B |
| 6/15/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 684,779 | 684,779 | Refer to App. B |
| 6/15/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 847,735 | 847,735 | Refer to App. B |
| 6/15/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 624,000 | 624,000 | Refer to App. B |
| 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 |
|---|---|---|---|---|---|---|---|
| 6/15/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 40,229 | Ordinary | 17,303 | 17,303 | N/A |
| 6/15/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (109,201) | Ordinary | (44,935) | (44,935) | N/A |
| 6/15/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 14,201 | Ordinary | 5,849 | 5,849 | N/A |
| 6/15/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (28,585) | Ordinary | (11,715) | (11,715) | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 551 | Ordinary | 225 | 225 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 3,484 | Ordinary | 1,428 | 1,428 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 328 | Ordinary | 134 | 134 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,423 | Ordinary | 581 | 581 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,203 | Ordinary | 493 | 493 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 518 | Ordinary | 213 | 213 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 460 | Ordinary | 190 | 190 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 698 | Ordinary | 291 | 291 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 783 | Ordinary | 321 | 321 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 68 | Ordinary | 28 | 28 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 488 | Ordinary | 201 | 201 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 581 | Ordinary | 241 | 241 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 851 | Ordinary | 359 | 359 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,024 | Ordinary | 434 | 434 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 601 | Ordinary | 259 | 259 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 566 | Ordinary | 240 | 240 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,449 | Ordinary | 614 | 614 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 547 | Ordinary | 229 | 229 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 614 | Ordinary | 257 | 257 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 2,490 | Ordinary | 1,000 | 1,000 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 615 | Ordinary | 247 | 247 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,805 | Ordinary | 725 | 725 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 350 | Ordinary | 140 | 140 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 2,294 | Ordinary | 925 | 925 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,404 | Ordinary | 585 | 585 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 142 | Ordinary | 59 | 59 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 2,654 | Ordinary | 1,106 | 1,106 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 2,935 | Ordinary | 1,198 | 1,198 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 264 | Ordinary | 108 | 108 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 288 | Ordinary | 117 | 117 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 581 | Ordinary | 236 | 236 | N/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 |
|---|---|---|---|---|---|---|---|
| 6/15/2020 | Merrill Lynch International | BUY | 1,222 | Ordinary | 503 | 503 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,162 | Ordinary | 482 | 482 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 461 | Ordinary | 188 | 188 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 360 | Ordinary | 147 | 147 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 425 | Ordinary | 174 | 174 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 2,227 | Ordinary | 909 | 909 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 51 | Ordinary | 21 | 21 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 406 | Ordinary | 166 | 166 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,506 | Ordinary | 605 | 605 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,867 | Ordinary | 753 | 753 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,845 | Ordinary | 753 | 753 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 697 | Ordinary | 285 | 285 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,312 | Ordinary | 531 | 531 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,835 | Ordinary | 740 | 740 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 615 | Ordinary | 250 | 250 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,262 | Ordinary | 513 | 513 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 312 | Ordinary | 127 | 127 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 20 | Ordinary | 8 | 8 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 760 | Ordinary | 309 | 309 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 674 | Ordinary | 274 | 274 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,458 | Ordinary | 595 | 595 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 425 | Ordinary | 173 | 173 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 66 | Ordinary | 27 | 27 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,646 | Ordinary | 680 | 680 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 779 | Ordinary | 322 | 322 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 953 | Ordinary | 392 | 392 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,069 | Ordinary | 440 | 440 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,053 | Ordinary | 435 | 435 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,644 | Ordinary | 682 | 682 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 3,944 | Ordinary | 1,623 | 1,623 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 2,309 | Ordinary | 954 | 954 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 1,162 | Ordinary | 480 | 480 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 817 | Ordinary | 339 | 339 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 318 | Ordinary | 132 | 132 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 75 | Ordinary | 31 | 31 | N/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 |
|---|---|---|---|---|---|---|---|
| 6/15/2020 | Merrill Lynch International | BUY | 87 | Ordinary | 36 | 36 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 2,753 | Ordinary | 1,147 | 1,147 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 421 | Ordinary | 176 | 176 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 50 | Ordinary | 21 | 21 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 402 | Ordinary | 168 | 168 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 256 | Ordinary | 107 | 107 | N/A |
| 6/15/2020 | Merrill Lynch International | BUY | 3,072 | Ordinary | 1,280 | 1,280 | N/A |
| 6/16/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 79,046 | 79,046 | Refer to App. B |
| 6/16/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (74,064) | (74,064) | Refer to App. B |
| 6/16/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (684,779) | (684,779) | Refer to App. B |
| 6/16/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 758,843 | 758,843 | Refer to App. B |
| 6/16/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 201,193 | 201,193 | Refer to App. B |
| 6/16/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 5,964 | Ordinary | 2,327 | 2,327 | N/A |
| 6/16/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (111,807) | Ordinary | (43,722) | (43,722) | N/A |
| 6/16/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 2,164 | Ordinary | 852 | 852 | N/A |
| 6/16/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (14,557) | Ordinary | (5,846) | (5,846) | N/A |
| 6/16/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 9,174 | Ordinary | 3,588 | 3,588 | N/A |
| 6/17/2020 | Merrill Lynch International(Australia)Ltd | Securities borrowed | N/A | Ordinary | 1,587,854 | 1,587,854 | Refer to App. B |
| 6/17/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (79,046) | (79,046) | Refer to App. B |
| 6/17/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (165,022) | (165,022) | Refer to App. B |
| 6/17/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 227,512 | 227,512 | Refer to App. B |
| 6/17/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 7,015 | Ordinary | 2,545 | 2,545 | N/A |
| 6/17/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (105,732) | Ordinary | (38,053) | (38,053) | N/A |
| 6/17/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (6,050) | Ordinary | (2,327) | (2,327) | N/A |
| 6/17/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 31,741 | Ordinary | 11,319 | 11,319 | N/A |
| 6/17/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (181,058) | Ordinary | (65,010) | (65,010) | N/A |
| 6/17/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 5,755 | Ordinary | 2,048 | 2,048 | N/A |
| 6/18/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (156,136) | (156,136) | Refer to App. B |
| 6/18/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (634,194) | (634,194) | Refer to App. B |
| 6/18/2020 | Merrill Lynch International(Australia)Ltd | Securities returned | N/A | Ordinary | (341,541) | (341,541) | Refer to App. B |
| 6/18/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (224,230) | (224,230) | Refer to App. B |
| 6/18/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (201,193) | (201,193) | Refer to App. B |
| 6/18/2020 | Merrill Lynch International | Securities returned | N/A | Ordinary | (534,613) | (534,613) | Refer to App. B |
| 6/18/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 735,806 | 735,806 | Refer to App. B |
| 6/18/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 418,403 | 418,403 | Refer to App. B |
| 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 |
|---|---|---|---|---|---|---|---|
| 6/18/2020 | Merrill Lynch International | Securities borrowed | N/A | Ordinary | 100,000 | 100,000 | Refer to App. B |
| 6/18/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (241,054) | Ordinary | (89,243) | (89,243) | N/A |
| 6/18/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (37,008) | Ordinary | (13,246) | (13,246) | N/A |
| 6/18/2020 | Merrill Lynch(Australia)Futures Limited | SELL | (128,056) | Ordinary | (46,511) | (46,511) | N/A |
| 6/18/2020 | Merrill Lynch(Australia)Futures Limited | BUY | 6,319 | Ordinary | 2,326 | 2,326 | N/A |
Appendix B-1: Prescribed information
| Type of agreement | Securities Lending Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and JPMorgan Chase Bank National |
| Holder of voting rights | Securities borrower. Securities lender may instruct theregisteredholdertovote 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 B-2: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement |
Merrill Lynch International, Merrill Lynch International (Australia) Ltdand 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-3: 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-4: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement |
Merrill Lynch International, Merrill Lynch International (Australia) Ltdand 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-5: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement |
Merrill Lynch International, Merrill Lynch International (Australia) Ltdand 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-6: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement |
Merrill Lynch International, Merrill Lynch International (Australia) Ltdand 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-7: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement |
Merrill Lynch International, Merrill Lynch International (Australia) Ltdand 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 C
| Appendix C | ||
|---|---|---|
| Related bodies corporate | Incorporated | ACN/Registration/Incorporation Number |
| Merrill Lynch International | UnitedKingdom | 2312079 |
| ML UK Capital Holdings Limited | United Kingdom | 4971231 |
| BofAML EMEA Holdings 2 Limited | United States | 119605 |
| Merrill Lynch (Australia) Futures Limited | Australia | 003639674 |
| Merrill Lynch International (Australia) Ltd | Australia | 002892846 |
| Merrill Lynch Markets (Australia)Pty. Limited | Australia | 075587816 |
| Merrill Lynch (Australasia) Pty. Ltd | Australia | 075923894 |
| Bank of America Global Holdings, LLC | United States | 5169939 |
| BofAML Jersey Holdings Limited | Jersey | 115831 |
| NB Holdings Corporation | United States | 2361372 |
| Bankof America Corporation | United States | N/A628 |
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