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Opthea Ltd Major Shareholding Notification 2021

Dec 9, 2021

32698_rns_2021-12-09_c0c636bb-0cbb-459a-9b57-7f20ab4f5757.pdf

Major Shareholding Notification

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Form 604

Corporations Act Section 671B

Notice of change of interests of substantial holder

To: Company Name/Scheme OPTHEA LIMITED 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 7 December 2021 3 November 2021

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 14,982,208 4.27% 13,659,121 3.89%
American
Depository Shares
(ADS)		 7,318,504 2.08% 4,236,984 1.21%
Total 22,300,712 6.35% 17,896,105 5.10%

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
5,540,501		 5,540,501
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
5,074		 5,074
Merrill Lynch
Markets
(Australia) Pty.
Limited		 Merrill Lynch
(Australia)
Nominees Pty. Ltd		 Merrill Lynch
Markets
(Australia) Pty.
Limited		 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
8,113,546		 8,113,546
Merrill Lynch
International		 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.		 527,423 ADS
representing
4,219,384
Ordinary
Shares		 4,219,384
Merrill Lynch
International		 Merrill Lynch
International		 Borrowing of securities
pursuant to a Stock Borrow
Loan Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 2,000 ADS
representing
16,000
Ordinary
Shares		 16,000
BofA
Securities, Inc.		 BofA Securities,
Inc.		 Borrowing of securities
pursuant to a Stock Borrow
Loan Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 200 ADS
representing
1,600
Ordinary
Shares		 1,600

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 34, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000,Australia
Merrill Lynch (Australia) Nominees Pty. Limited Level 19, 120 Collins St, Melbourne Vic 3000, Australia
Merrill Lynch Markets (Australia) Pty. Limited Level 34, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000,Australia
Merrill Lynch International 2 King Edward Street, London, England, EC1A 1HQ, United
Kingdom
BofA Securities, Inc. One Bryant Park, New York NY 10036, USA

SIGNATURE

Print Name: Kelvin Kwok Capacity: Authorised signatory Sign Here: Date: 9 December 2021

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
11/02/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities
borrowed		 N/A Ordinary 189,946 189,946 RefertoApp. B
11/02/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (89,346) (89,346) RefertoApp. B
11/02/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 91,617 732,936 RefertoApp. B
11/02/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (200) (1,600) RefertoApp. B
11/02/2021 BofA Securities, Inc. Securities returned
N/A		 ADS (100) (800) Refer to App. B
11/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (549) Ordinary (439) (439) N/A
11/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,615) Ordinary (1,282) (1,282) N/A
11/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,447) Ordinary (1,152) (1,152) N/A
11/02/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,821 Ordinary 3,057 3,057 N/A
11/02/2021 Merrill Lynch (Australia) Futures Limited BUY 21,508 Ordinary 17,155 17,155 N/A
11/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (24,016) Ordinary (19,060) (19,060) N/A
11/03/2021 Merrill Lynch International Securitiesreturned N/A ADS (91,617) (732,936) RefertoApp. B
11/03/2021 Merrill Lynch International Securitiesreturned N/A ADS (563,891) (4,511,128) RefertoApp. B
11/03/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 655,508 5,244,064 RefertoApp. B
11/03/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (200) (1,600) RefertoApp. B
11/03/2021 Merrill Lynch (Australia) Futures Limited BUY 9,131 Ordinary 7,311 7,311 N/A
11/03/2021 Merrill Lynch(Australia)FuturesLimited BUY 2,931 Ordinary 2,364 2,364 N/A
11/03/2021 Merrill Lynch(Australia)FuturesLimited SELL (11,997) Ordinary (9,675) (9,675) 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
11/04/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 178,912 1,431,296 RefertoApp. B
11/04/2021 Merrill Lynch International Securitiesreturned N/A ADS (260,996) (2,087,968) RefertoApp. B
11/04/2021 BofASecurities,Inc. Securities
borrowed		 N/A ADS 100 800 RefertoApp. B
11/04/2021 BofASecurities,Inc. Securities
borrowed		 N/A ADS 300 2,400 RefertoApp. B
11/04/2021 Merrill Lynch(Australia)FuturesLimited SELL (205) Ordinary (158) (158) N/A
11/04/2021 Merrill Lynch (Australia) Futures Limited BUY 38,194 Ordinary 29,748 29,748 N/A
11/04/2021 Merrill Lynch(Australia)FuturesLimited BUY 947 Ordinary 746 746 N/A
11/04/2021 Merrill Lynch(Australia)FuturesLimited BUY 1,844 Ordinary 1,427 1,427 N/A
11/04/2021 Merrill Lynch(Australia)FuturesLimited SELL (40,528) Ordinary (31,175) (31,175) N/A
11/05/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities
borrowed		 N/A Ordinary 107,461 107,461 RefertoApp. B
11/05/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned
N/A		 Ordinary (12,669) (12,669) Refer to App. B
11/05/2021 Merrill Lynch International Securitiesreturned N/A ADS (178,912) (1,431,296) RefertoApp. B
11/05/2021 Merrill Lynch International Securitiesreturned N/A ADS (349,422) (2,795,376) RefertoApp. B
11/05/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 528,334 4,226,672 RefertoApp. B
11/05/2021 Merrill Lynch International Securitiesreturned N/A ADS (102,738) (821,904) RefertoApp. B
11/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,430 Ordinary 10,584 10,584 N/A
11/05/2021 Merrill Lynch (Australia) Futures Limited BUY 2,960 Ordinary 2,368 2,368 N/A
11/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 311 Ordinary 249 249 N/A
11/05/2021 Merrill Lynch(Australia)FuturesLimited SELL (14,434) Ordinary (11,547) (11,547) 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
11/08/2021 Merrill Lynch International Securitiesreturned N/A ADS (911) (7,288) RefertoApp. B
11/08/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 125,265 1,002,120 RefertoApp. B
11/08/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (200) (1,600) RefertoApp. B
11/08/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
11/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,749) Ordinary (1,405) (1,405) N/A
11/08/2021 Merrill Lynch (Australia) Futures Limited BUY 28,625 Ordinary 22,818 22,818 N/A
11/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (726) Ordinary (588) (588) N/A
11/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (29,064) Ordinary (23,067) (23,067) N/A
11/09/2021 Merrill Lynch International Securitiesreturned N/A ADS (125,265) (1,002,120) RefertoApp. B
11/09/2021 Merrill Lynch International Securitiesreturned N/A ADS (291,774) (2,334,192) RefertoApp. B
11/09/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 417,039 3,336,312 Refer to App. B
11/09/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 73,483 587,864 RefertoApp. B
11/09/2021 Merrill Lynch International SELL (18) Ordinary (14) (14) N/A
11/09/2021 Merrill Lynch International BUY 18 Ordinary 14 14 N/A
11/09/2021 Merrill Lynch(Australia)FuturesLimited BUY 15,283 Ordinary 12,118 12,118 N/A
11/09/2021 Merrill Lynch(Australia)FuturesLimited BUY 7,413 Ordinary 5,878 5,878 N/A
11/09/2021 Merrill Lynch (Australia) Futures Limited SELL (22,855) Ordinary (17,996) (17,996) N/A
11/10/2021 Merrill Lynch International Securitiesreturned N/A ADS (417,039) (3,336,312) RefertoApp. B
11/10/2021 Merrill Lynch International Securitiesreturned N/A ADS (73,483) (587,864) RefertoApp. 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
11/10/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 490,522 3,924,176 RefertoApp. B
11/10/2021 Merrill Lynch International Securitiesreturned N/A ADS (156,259) (1,250,072) RefertoApp. B
11/10/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (800) (6,400) RefertoApp. B
11/10/2021 Merrill Lynch(Australia)FuturesLimited SELL (23,726) Ordinary (19,057) (19,057) N/A
11/10/2021 Merrill Lynch(Australia)FuturesLimited BUY 17,763 Ordinary 14,299 14,299 N/A
11/10/2021 Merrill Lynch (Australia) Futures Limited BUY 7,367 Ordinary 5,917 5,917 N/A
11/11/2021 Merrill Lynch(Australia)FuturesLimited SELL (720) Ordinary (574) (574) N/A
11/11/2021 Merrill Lynch(Australia)FuturesLimited SELL (33,164) Ordinary (27,408) (27,408) N/A
11/11/2021 Merrill Lynch(Australia)FuturesLimited BUY 24,406 Ordinary 20,170 20,170 N/A
11/11/2021 Merrill Lynch(Australia)FuturesLimited BUY 33,146 Ordinary 26,823 26,823 N/A
11/12/2021 Merrill Lynch International Securities returned
N/A		 ADS (197,340) (1,578,720) Refer to App. B
11/12/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (300) (2,400) RefertoApp. B
11/12/2021 Merrill Lynch(Australia)FuturesLimited BUY 6,510 Ordinary 5,347 5,347 N/A
11/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (15,691) Ordinary (12,753) (12,753) N/A
11/12/2021 Merrill Lynch(Australia)FuturesLimited BUY 59,021 Ordinary 48,291 48,291 N/A
11/12/2021 Merrill Lynch(Australia)FuturesLimited BUY 48,847 Ordinary 40,360 40,360 N/A
11/12/2021 Merrill Lynch (Australia) Futures Limited SELL (60,812) Ordinary (49,846) (49,846) N/A
11/15/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (100,228) (100,228) RefertoApp. B
11/15/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (107,461) (107,461) RefertoApp. 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
11/15/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (189,946) (189,946) RefertoApp. B
11/15/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (119,021) (119,021) RefertoApp. B
11/15/2021 Merrill Lynch International Securitiesreturned N/A ADS (6,444) (51,552) RefertoApp. B
11/15/2021 Merrill Lynch(Australia)FuturesLimited BUY 28,065 Ordinary 22,493 22,493 N/A
11/15/2021 Merrill Lynch(Australia)FuturesLimited BUY 7,788 Ordinary 6,264 6,264 N/A
11/15/2021 Merrill Lynch (Australia) Futures Limited SELL (6,510) Ordinary (5,271) (5,271) N/A
11/15/2021 Merrill Lynch(Australia)FuturesLimited SELL (51,486) Ordinary (41,521) (41,521) N/A
11/16/2021 Merrill Lynch International Securitiesreturned N/A ADS (130,479) (1,043,832) RefertoApp. B
11/16/2021 Merrill Lynch(Australia)FuturesLimited SELL (175) Ordinary (141) (141) N/A
11/16/2021 Merrill Lynch(Australia)FuturesLimited BUY 15,828 Ordinary 12,884 12,884 N/A
11/16/2021 Merrill Lynch (Australia) Futures Limited SELL (366) Ordinary (295) (295) N/A
11/16/2021 Merrill Lynch(Australia)FuturesLimited SELL (19,241) Ordinary (15,517) (15,517) N/A
11/17/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (21,219) (21,219) RefertoApp. B
11/17/2021 Merrill Lynch International Securities
borrowed		 N/A ADS 4,600 36,800 RefertoApp. B
11/17/2021 Merrill Lynch(Australia)FuturesLimited BUY 21,755 Ordinary 17,826 17,826 N/A
11/17/2021 Merrill Lynch(Australia)FuturesLimited BUY 546 Ordinary 449 449 N/A
11/17/2021 Merrill Lynch (Australia) Futures Limited BUY 556 Ordinary 458 458 N/A
11/18/2021 Merrill Lynch(Australia)FuturesLimited SELL (22,215) Ordinary (18,284) (18,284) N/A
11/18/2021 Merrill Lynch(Australia)FuturesLimited BUY 16,366 Ordinary 13,326 13,326 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
11/18/2021 Merrill Lynch(Australia)FuturesLimited BUY 376 Ordinary 308 308 N/A
11/18/2021 Merrill Lynch(Australia)FuturesLimited SELL (28,619) Ordinary (23,080) (23,080) N/A
11/18/2021 Merrill Lynch(Australia)FuturesLimited SELL (399) Ordinary (322) (322) N/A
11/18/2021 Merrill Lynch(Australia)FuturesLimited BUY 11,826 Ordinary 9,591 9,591 N/A
11/19/2021 Merrill Lynch International Securitiesreturned N/A ADS (400) (3,200) RefertoApp. B
11/19/2021 Merrill Lynch (Australia) Futures Limited BUY 8,187 Ordinary 6,693 6,693 N/A
11/19/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,634 Ordinary 3,003 3,003 N/A
11/19/2021 Merrill Lynch(Australia)FuturesLimited BUY 6,321 Ordinary 5,224 5,224 N/A
11/19/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,544) Ordinary (1,260) (1,260) N/A
11/19/2021 Merrill Lynch(Australia)FuturesLimited SELL (12,036) Ordinary (9,947) (9,947) N/A
11/22/2021 Merrill Lynch International Securities returned
N/A		 ADS (100) (800) Refer to App. B
11/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 19,335 Ordinary 16,032 16,032 N/A
11/22/2021 Merrill Lynch(Australia)FuturesLimited SELL (54,934) Ordinary (45,778) (45,778) N/A
11/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,831 Ordinary 11,500 11,500 N/A
11/22/2021 Merrill Lynch(Australia)FuturesLimited SELL (9,587) Ordinary (7,956) (7,956) N/A
11/23/2021 Merrill Lynch International Securitiesreturned N/A ADS (100) (800) RefertoApp. B
11/23/2021 Merrill Lynch (Australia) Futures Limited BUY 49,026 Ordinary 40,820 40,820 N/A
11/23/2021 Merrill Lynch(Australia)FuturesLimited SELL (48,372) Ordinary (40,820) (40,820) N/A
11/23/2021 Merrill Lynch(Australia)FuturesLimited SELL (4,938) Ordinary (4,124) (4,124) 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
11/23/2021 Merrill Lynch(Australia)FuturesLimited BUY 24,155 Ordinary 20,384 20,384 N/A
11/24/2021 Merrill Lynch International Securitiesreturned N/A ADS (100) (800) RefertoApp. B
11/24/2021 Merrill Lynch(Australia)FuturesLimited BUY 12,299 Ordinary 10,348 10,348 N/A
11/24/2021 Merrill Lynch(Australia)FuturesLimited BUY 2,423 Ordinary 2,028 2,028 N/A
11/24/2021 Merrill Lynch(Australia)FuturesLimited SELL (12,366) Ordinary (10,348) (10,348) N/A
11/24/2021 Merrill Lynch (Australia) Futures Limited SELL (14,525) Ordinary (12,254) (12,254) N/A
11/25/2021 Merrill Lynch(Australia)FuturesLimited BUY 23,123 Ordinary 19,213 19,213 N/A
11/25/2021 Merrill Lynch(Australia)FuturesLimited SELL (7,150) Ordinary (5,945) (5,945) N/A
11/25/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,008 Ordinary 2,507 2,507 N/A
11/25/2021 Merrill Lynch(Australia)FuturesLimited SELL (23,056) Ordinary (19,213) (19,213) N/A
11/26/2021 Merrill Lynch International Securities returned
N/A		 ADS (500) (4,000) Refer to App. B
11/26/2021 Merrill Lynch(Australia)FuturesLimited BUY 26,395 Ordinary 21,968 21,968 N/A
11/26/2021 Merrill Lynch(Australia)FuturesLimited SELL (6,510) Ordinary (5,422) (5,422) N/A
11/26/2021 Merrill Lynch(Australia)FuturesLimited SELL (33,142) Ordinary (27,390) (27,390) N/A
11/29/2021 Merrill Lynch International Securitiesreturned N/A ADS (700) (5,600) RefertoApp. B
11/29/2021 Merrill Lynch(Australia)FuturesLimited BUY 1,231 Ordinary 1,026 1,026 N/A
11/29/2021 Merrill Lynch (Australia) Futures Limited BUY 21,788 Ordinary 18,172 18,172 N/A
11/29/2021 Merrill Lynch(Australia)FuturesLimited SELL (23,326) Ordinary (19,198) (19,198) N/A
11/30/2021 Merrill Lynch(Australia)FuturesLimited BUY 167 Ordinary 137 137 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
11/30/2021 Merrill Lynch(Australia)FuturesLimited BUY 16,995 Ordinary 14,022 14,022 N/A
11/30/2021 Merrill Lynch(Australia)FuturesLimited SELL (16,756) Ordinary (14,022) (14,022) N/A
12/01/2021 Merrill Lynch(Australia)FuturesLimited BUY 27,382 Ordinary 23,671 23,671 N/A
12/01/2021 Merrill Lynch(Australia)FuturesLimited BUY 5,476 Ordinary 4,762 4,762 N/A
12/01/2021 Merrill Lynch(Australia)FuturesLimited SELL (28,417) Ordinary (24,710) (24,710) N/A
12/02/2021 Merrill Lynch (Australia) Futures Limited SELL (30,434) Ordinary (27,542) (27,542) N/A
12/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (3,661) Ordinary (3,240) (3,240) N/A
12/02/2021 Merrill Lynch(Australia)FuturesLimited BUY 30,998 Ordinary 27,838 27,838 N/A
12/03/2021 Merrill Lynch International Securitiesreturned N/A ADS (100) (800) RefertoApp. B
12/03/2021 Merrill Lynch(Australia)FuturesLimited BUY 2,266 Ordinary 2,032 2,032 N/A
12/03/2021 Merrill Lynch (Australia) Futures Limited SELL (2,658) Ordinary (2,342) (2,342) N/A
12/03/2021 Merrill Lynch(Australia)FuturesLimited BUY 32,859 Ordinary 29,053 29,053 N/A
12/03/2021 Merrill Lynch(Australia)FuturesLimited SELL (32,446) Ordinary (29,363) (29,363) N/A
12/06/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (133,391) (133,391) RefertoApp. B
12/06/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (795,491) (795,491) RefertoApp. B
12/06/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (2,315) (2,315) RefertoApp. B
12/06/2021 Merrill Lynch International Securities returned
N/A		 ADS (600) (4,800) Refer to App. B
12/06/2021 BofASecurities,Inc. Securities
borrowed		 N/A ADS 100 800 RefertoApp. B
12/06/2021 BofASecurities,Inc. Securities
borrowed		 N/A ADS 400 3,200 RefertoApp. 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
12/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (41,680) Ordinary (38,064) (38,064) N/A
12/06/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,495 Ordinary 3,192 3,192 N/A
12/06/2021 Merrill Lynch(Australia)FuturesLimited BUY 38,019 Ordinary 34,872 34,872 N/A
12/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (327) Ordinary (296) (296) N/A
12/07/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securitiesreturned N/A Ordinary (45,371) (45,371) RefertoApp. B
12/07/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned
N/A		 Ordinary (2,315) (2,315) Refer to App. B
12/07/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
12/07/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (200) (1,600) RefertoApp. B
12/07/2021 Merrill Lynch(Australia)FuturesLimited SELL (26,884) Ordinary (23,377) (23,377) N/A
12/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 26,272 Ordinary 23,377 23,377 N/A

Appendix B-1: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International, Merrill Lynch Markets (Australia) Pty 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
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 Markets (Australia) Pty 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-3: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International, Merrill Lynch Markets (Australia) Pty 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, Merrill Lynch Markets (Australia) Pty 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-5: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International, Merrill Lynch Markets (Australia) Pty 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-6: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to
agreement		 Merrill Lynch International, Merrill Lynch Markets (Australia) Pty Limited and
Amazon Market Neutral Fund (GCM)
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 Markets (Australia) Pty Limited and
ZAMBEZI ABSOLUTE RETURN FUND (GCM)
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 Securities Lending Agreement
Parties to
agreement		 BofA Securities, Inc. and THE NORTHERN TRUST COMPANY
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		 BofA Securities, Inc. and CHARLES SCHWAB & CO INC
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-10: Prescribed information

Type of agreement Securities Lending Agreement
Parties to
agreement		 BofA Securities, Inc. and INTERACTIVE BROKERS
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-11: Prescribed information

Type of agreement Securities Lending Agreement
Parties to
agreement		 Merrill Lynch International and STATE STREET B&T (BOSTON BILAT)
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
ML UK Capital Holdings Limited United Kingdom 4971231
BofAML EMEA Holdings 2 Limited United States 119605
Merrill Lynch(Australia)Futures Limited Australia 3639674
Merrill Lynch Markets(Australia)Pty. Limited Australia 75587816
Merrill Lynch(Australasia)Pty. Ltd Australia 75923894
Bank of America Global Holdings,LLC United States 5169939
BofAML Jersey Holdings Limited Jersey 115831
BofA Securities, Inc. United States 5793661
NB Holdings Corporation United States 2361372
Bank of America Corporation United States N/A628

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