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Opthea Ltd — Major Shareholding Notification 2020
Jan 15, 2020
32698_rns_2020-01-15_ec0c2dbe-1f56-4647-a9bd-e342810de238.pdf
Major Shareholding Notification
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Form 605
Corporations Law Section 671B Notice of ceasing to be a 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 ceased to be a substantial shareholder on
The previous notice was given to the company on
The previous notice was dated
14 January 2020 9 January 2020 7 January 2020
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
| Date of change |
Person whose relevant interest changed |
Nature of Change (4) |
Consideration given in relation to change (5) |
Class (6) and Number of securities affected |
Person’s votes affected |
|---|---|---|---|---|---|
| Please see Appendix A |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
| N/A | N/A |
4. Addresses
The addresses of persons named in this form are as follows:
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Name Addresses
Bank of America Corporation 100 North Tryon Street, Charlotte, North Carolina, 28255, USA
Level 38, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
Merrill Lynch (Australia) Futures Ltd
2000, Australia
Merrill Lynch (Australia) Nominees Pty Ltd Level 19, 120 Collins St, Melbourne Vic 3000, Australia
Level 38, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
Merrill Lynch International (Australia) Ltd
2000, Australia
2 King Edward Street, London, England, EC1A 1HQ, United
Merrill Lynch International
Kingdom.
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SIGNATURE
Print Name: Kelvin Kwok Capacity: Authorised signatory Sign Here: Date: 16 January 2020
Appendix A
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Consideration Class (6) of Securities Person's votes
Date of change Person whose relevant interest changed Nature of change (4) (5) securites affected affected Remark
Merrill Lynch International (Australia) Securities
1/8/2020 Limited returned N/A Ordinary (28,465) (28,465) Refer to App. B
Merrill Lynch International (Australia) Securities
1/9/2020 Limited returned N/A Ordinary (4,487) (4,487) Refer to App. B
Merrill Lynch International (Australia) Securities
1/9/2020 Limited returned N/A Ordinary (2,119) (2,119) Refer to App. B
Merrill Lynch International (Australia) Securities
1/10/2020 Limited returned N/A Ordinary (6,606) (6,606) Refer to App. B
Merrill Lynch International (Australia) Securities
1/13/2020 Limited returned N/A Ordinary (6,606) (6,606) Refer to App. B
Merrill Lynch International (Australia) Securities
1/14/2020 Limited returned N/A Ordinary (60,103) (60,103) Refer to App. B
Merrill Lynch International (Australia) Securities
1/14/2020 Limited borrowed N/A Ordinary 53,497 53,497 Refer to App. B
1/8/2020 Merrill Lynch (Australia) Futures Ltd SELL (1,478) Ordinary (498) (498) N/A
1/8/2020 Merrill Lynch (Australia) Futures Ltd SELL (7,621) Ordinary (2,663) (2,663) N/A
1/8/2020 Merrill Lynch (Australia) Futures Ltd BUY 24,157 Ordinary 8,476 8,476 N/A
1/8/2020 Merrill Lynch (Australia) Futures Ltd SELL (26,820) Ordinary (9,433) (9,433) N/A
1/8/2020 Merrill Lynch (Australia) Futures Ltd SELL (3,702) Ordinary (1,296) (1,296) N/A
1/8/2020 Merrill Lynch (Australia) Futures Ltd SELL (3,409) Ordinary (1,209) (1,209) N/A
1/8/2020 Merrill Lynch (Australia) Futures Ltd BUY 3,730 Ordinary 1,296 1,296 N/A
1/8/2020 Merrill Lynch (Australia) Futures Ltd BUY 2,141 Ordinary 762 762 N/A
1/9/2020 Merrill Lynch (Australia) Futures Ltd BUY 1,694 Ordinary 584 584 N/A
1/9/2020 Merrill Lynch (Australia) Futures Ltd BUY 8,185 Ordinary 2,805 2,805 N/A
1/9/2020 Merrill Lynch (Australia) Futures Ltd SELL (6,241) Ordinary (2,137) (2,137) N/A
1/9/2020 Merrill Lynch (Australia) Futures Ltd SELL (19,669) Ordinary (6,777) (6,777) N/A
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1/10/2020 Merrill Lynch (Australia) Futures Ltd SELL (6,667) Ordinary (2,249) (2,249) N/A
1/10/2020 Merrill Lynch (Australia) Futures Ltd SELL (9,844) Ordinary (3,279) (3,279) N/A
1/10/2020 Merrill Lynch (Australia) Futures Ltd BUY 31,673 Ordinary 10,541 10,541 N/A
1/13/2020 Merrill Lynch (Australia) Futures Ltd BUY 125,243 Ordinary 40,271 40,271 N/A
1/13/2020 Merrill Lynch (Australia) Futures Ltd BUY 20,865 Ordinary 6,508 6,508 N/A
1/13/2020 Merrill Lynch (Australia) Futures Ltd BUY 24,459 Ordinary 7,566 7,566 N/A
1/13/2020 Merrill Lynch (Australia) Futures Ltd SELL (6,715) Ordinary (2,177) (2,177) N/A
1/13/2020 Merrill Lynch (Australia) Futures Ltd SELL (20,961) Ordinary (6,452) (6,452) N/A
1/14/2020 Merrill Lynch (Australia) Futures Ltd SELL (22,784) Ordinary (6,725) (6,725) N/A
1/14/2020 Merrill Lynch (Australia) Futures Ltd BUY 1,879 Ordinary 555 555 N/A
1/14/2020 Merrill Lynch (Australia) Futures Ltd SELL (14,359) Ordinary (4,391) (4,391) N/A
1/14/2020 Merrill Lynch (Australia) Futures Ltd BUY 18,754 Ordinary 5,553 5,553 N/A
1/14/2020 Merrill Lynch (Australia) Futures Ltd SELL (14,439) Ordinary (4,255) (4,255) N/A
1/14/2020 Merrill Lynch (Australia) Futures Ltd SELL (3,400,000) Ordinary (1,000,000) (1,000,000) N/A
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Appendix B-1: Prescribed information
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Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International, Merrill Lynch International (Australia) Limited 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 No
restrictions on voting
rights?
If yes, detail N/A
Scheduled return date On recall of the securities loan by the securities lender.
(if any)
Does the borrower have Yes
the right to return
early?
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender have Yes
the right to recall
early?
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be Yes
returned on settlement?
If yes, detail any N/A
exceptions
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Appendix B-2: Prescribed information
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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 No
restrictions on voting
rights?
If yes, detail N/A
Scheduled return date On recall of the securities loan by the securities lender.
(if any)
Does the borrower have Yes
the right to return
early?
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender have Yes
the right to recall
early?
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be Yes
returned on settlement?
If yes, detail any N/A
exceptions
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Appendix B-3: Prescribed information
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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 No
restrictions on voting
rights?
If yes, detail N/A
Scheduled return date On recall of the securities loan by the securities lender.
(if any)
Does the borrower have Yes
the right to return
early?
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender have Yes
the right to recall
early?
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be Yes
returned on settlement?
If yes, detail any N/A
exceptions
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Appendix B-4: Prescribed information
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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 No
restrictions on voting
rights?
If yes, detail N/A
Scheduled return date On recall of the securities loan by the securities lender.
(if any)
Does the borrower have Yes
the right to return
early?
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender have Yes
the right to recall
early?
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be Yes
returned on settlement?
If yes, detail any N/A
exceptions
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Appendix B-5: Prescribed information
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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 No
restrictions on voting
rights?
If yes, detail N/A
Scheduled return date On recall of the securities loan by the securities lender.
(if any)
Does the borrower have Yes
the right to return
early?
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender have Yes
the right to recall
early?
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be Yes
returned on settlement?
If yes, detail any N/A
exceptions
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Appendix B-6: Prescribed information
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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 No
restrictions on voting
rights?
If yes, detail N/A
Scheduled return date On recall of the securities loan by the securities lender.
(if any)
Does the borrower have Yes
the right to return
early?
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender have Yes
the right to recall
early?
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be Yes
returned on settlement?
If yes, detail any N/A
exceptions
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Appendix C
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ACN/Registration/Incorporation
Related bodies corporate Incorporated Number
United
Merrill Lynch International Kingdom 2312079
United
ML UK Capital Holdings Kingdom 4971231
BofAML EMEA Holdings 2 Limited United States 119605
Merrill Lynch (Australia) Futures Limited Australia 003639674
Merrill Lynch International (Australia) Limited Australia 002892846
Merrill Lynch Markets (Australia) Pty. Limited Australia 075587816
Merrill Lynch (Australasia) Pty. Limited Australia 075923894
Bank of America Global Holdings, LLC United States 5169939
BofAML Jersey Holdings Limited Jersey 115831
NB Holdings Corporation United States 2361372
Bank of America Corporation United States N/A628
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