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Opthea Ltd — Major Shareholding Notification 2021
Sep 23, 2021
32698_rns_2021-09-23_8d1dc9bd-552c-46ce-86ff-d0208de2dcfc.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 LIMITED
ACN/ARSN 006 340 567
1. Details of substantial holder (1)
Name
UBS Group AG and its related bodies corporate
ACN/ARSN (if applicable):
The holder ceased to be a substantial shareholder on 21 September 2021 The previous notice was given to the company on 21 September 2021 The previous notice was dated 17 September 2021
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 ofchange | Person whoserelevant interestchanged | Nature of Change(4) | Considerationgiven inrelation tochange (5) | Class (6) andNumber ofsecurities affected | Person’svotesaffected |
|---|---|---|---|---|---|
| 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:
| Name | Address |
|---|---|
| N/A | N/A |
SIGNATURE
Print Name: Andrew Costley Capacity: Authorised signatory Sign Here: Date: 23 September 2021 Print Name: Joanne Chan Capacity: Authorised signatory Sign Here: Date: 23 September 2021
Contact details for this notice:
--------------------------------------------------------------Andrew Costley Group Compliance, Regulatory & Governance (T) + 852 3712 3707
| OPT - Appendix A | OPT - Appendix A | OPT - Appendix A | OPT - Appendix A | OPT - Appendix A | OPT - Appendix A |
|---|---|---|---|---|---|
| Date ofchange | Person whose relevant interestchanged | Nature of Change | Consideration given inrelation to change | Number ofsecurities | Class |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 830 | (651) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 238 | (187) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Buy | 53,835 | 41,993 | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 27,229 | (21,113) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Buy | 30,707 | 23,902 | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Buy | 6,375 | 5,000 | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Buy | 33,177 | 25,930 | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 2,967 | (2,309) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 23,394 | (18,377) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Buy | 20,472 | 15,949 | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 14,813 | (11,515) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 1,663 | (1,296) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Buy | 1,575 | 1,236 | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Buy | 10,275 | 7,999 | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 5,783 | (4,498) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 647 | (505) | Ordinary |
| 20-Sep-21 | UBS Securities Australia Ltd | Sell | 10,570 | (8,248) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 53 | (43) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 66,802 | (54,025) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Buy | 50,599 | 41,074 | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Buy | 6,250 | 5,000 | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 62,667 | (50,579) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Buy | 74,827 | 60,437 | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 16,298 | (13,152) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Buy | 75,096 | 60,600 | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 26,007 | (21,009) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 2,851 | (2,304) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Buy | 9,169 | 7,384 | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 14,335 | (11,596) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 334 | (270) | Ordinary |
| 21-Sep-21 | UBS Securities Australia Ltd | Sell | 704,353 | (565,745) | Ordinary |
| 21-Sep-21 | UBS AG,London Branch | Sell | 1,001 | (784) | ADR |