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Opthea Ltd Major Shareholding Notification 2021

Aug 11, 2021

32698_rns_2021-08-11_38ef9b32-514c-4a52-a06a-865cfd8a038b.pdf

Major Shareholding Notification

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Form 603

Corporations Act Section 671B Notice of initial substantial holder

To: Company Name/Scheme OPTHEA LIMITED

ACN/ ~~ARSN~~

006 340 567

1. Details of substantial holder (1)

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

ACN/ARSN (if applicable)

The holder became a substantial holder on: 9 August 2021

2. Details of voting power

The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in on the date the substantial holder became a substantial holder are as follows:

Class of securities (4) Number of securities Persons’ votes (5) Voting power (6)
Ordinary 12,758,935 12,758,935 3.63%
American Depository Shares (ADS) 687,549 5,500,392 1.57%
Total Voting Power 18,259,327 5.20%

3. Details of relevant interests

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

Holder of relevant interest Nature of relevant interest (7) Class and number of securities
Merrill Lynch (Australia) Futures Limited Power to control voting and/or disposal of
securities in its capacity as ultimate beneficial
owner having a principal position.		 Ordinary 4,715,886
Merrill Lynch International Power to control voting and/or disposal of
securities in its capacity as ultimate beneficial
owner having a principal position.		 Ordinary 4,941
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 8,038,108
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.		 687,549 ADS representing
5,500,392 Ordinary Shares

4. Details of present registered holders

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

Holder of relevant
interest		 Registered holder of
securities		 Person entitled to be
registered as holder (8)		 Class and number of
securities
Merrill Lynch (Australia)
Futures Limited		 Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch (Australia)
Futures Limited		 Ordinary 4,715,886
Merrill Lynch International Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch International Ordinary 4,941
Merrill Lynch International Merrill Lynch International 687,549 ADS representing
5,500,392 Ordinary Shares
Merrill Lynch Markets
(Australia) Pty. Limited		 Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch Markets
(Australia) Pty. Limited		 Ordinary 8,038,108

5. Consideration

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

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

6. Associates

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

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

7. Addresses

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

Name
Bank of America Corporation
Merrill Lynch (Australia) Futures Limited
Merrill Lynch (Australia) Nominees Pty Ltd
Merrill Lynch Markets (Australia) Pty. Limited
Merrill Lynch International
BofA Securities, Inc.		 Addresses
100 North Tryon Street, Charlotte, North Carolina, 28255, USA
Level 34, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000, Australia
Level 19, 120 Collins St, Melbourne Vic 3000, Australia
Level 34, Governor Phillip Tower, 1 Farrer Place, Sydney NSW
2000,Australia
2 King Edward Street, London, England, EC1A 1HQ, United
Kingdom
One Bryant Park, New York NY 10036, USA

SIGNATURE

Print Name: Kelvin Kwok Capacity: Authorised signatory Sign Here: Date: 11 August 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
04/12/2021 Merrill Lynch International Securities borrowed N/A ADS 10,860 86,880
Refer to App. B
04/12/2021 Merrill Lynch International Securities borrowed N/A ADS 31,799 254,392
RefertoApp. B
04/12/2021 Merrill Lynch (Australia) Futures Limited SELL (2,634)
Ordinary		 (1,647) (1,647)
N/A
04/12/2021 Merrill Lynch (Australia) Futures Limited BUY 21,360 Ordinary 13,505 13,505
N/A
04/12/2021 Merrill Lynch (Australia) Futures Limited BUY 28,871 Ordinary 18,217 18,217
N/A
04/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (31,582) Ordinary (19,863) (19,863) N/A
04/13/2021 Merrill Lynch International Securities returned N/A ADS (31,799) (254,392)
Refer to App. B
04/13/2021 Merrill Lynch International Securities returned N/A ADS (879,885) (7,039,080)
Refer to App. B
04/13/2021 Merrill Lynch International Securities borrowed N/A ADS 911,684 7,293,472
Refer to App. B
04/13/2021 Merrill Lynch International Securitiesreturned N/A ADS (10,860) (86,880) RefertoApp. B
04/13/2021 Merrill Lynch International Securities returned N/A ADS (483,939) (3,871,512)
Refer to App. B
04/13/2021 Merrill Lynch International Securities borrowed N/A ADS 494,799 3,958,392
Refer to App. B
04/13/2021 Merrill Lynch International Securities borrowed N/A ADS 13,646 109,168
Refer to App. B
04/13/2021 Merrill Lynch(Australia)FuturesLimited SELL (17,054) Ordinary (10,897) (10,897) N/A
04/13/2021 Merrill Lynch (Australia) Futures Limited BUY 302 Ordinary 193 193
N/A
04/13/2021 Merrill Lynch (Australia) Futures Limited BUY 16,810 Ordinary 10,623 10,623
N/A
04/14/2021 Merrill Lynch International Securities returned N/A ADS (494,799) (3,958,392)
Refer to App. B
04/14/2021 Merrill Lynch International Securitiesreturned N/A ADS (13,646) (109,168) RefertoApp. B
04/14/2021 Merrill Lynch International Securities borrowed N/A ADS 508,445 4,067,560
Refer to App. B
04/14/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
04/14/2021 Merrill Lynch (Australia) Futures Limited SELL (2)
Ordinary		 (1) (1)
N/A
04/14/2021 Merrill Lynch(Australia)FuturesLimited BUY 15,410 Ordinary 9,857 9,857
N/A
04/14/2021 Merrill Lynch (Australia) Futures Limited SELL (36,920)
Ordinary		 (23,516) (23,516)
N/A
04/15/2021 Merrill Lynch International SELL (2)
Ordinary		 (1) (1)
N/A
04/15/2021 Merrill Lynch International BUY 2 Ordinary 1 1
N/A
04/15/2021 Merrill Lynch(Australia)FuturesLimited SELL (31,349) Ordinary (20,423) (20,423) N/A
04/15/2021 Merrill Lynch (Australia) Futures Limited BUY 2,113
Ordinary		 1,369 1,369
N/A
04/15/2021 Merrill Lynch (Australia) Futures Limited SELL (404)
Ordinary		 (261) (261)
N/A
04/15/2021 Merrill Lynch (Australia) Futures Limited SELL (3,231)
Ordinary		 (2,098) (2,098)
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
04/15/2021 Merrill Lynch(Australia)FuturesLimited BUY 905 Ordinary 580 580 N/A
04/15/2021 Merrill Lynch (Australia) Futures Limited BUY 28,924 Ordinary 18,735 18,735
N/A
04/16/2021 Merrill Lynch International Securities returned N/A ADS (199,017) (1,592,136)
Refer to App. B
04/16/2021 Merrill Lynch (Australia) Futures Limited SELL (23,816)
Ordinary		 (15,465) (15,465)
N/A
04/16/2021 Merrill Lynch(Australia)FuturesLimited BUY 388 Ordinary 257 257
N/A
04/16/2021 Merrill Lynch (Australia) Futures Limited BUY 23,186 Ordinary 15,208 15,208
N/A
04/19/2021 Merrill Lynch (Australia) Futures Limited SELL (36,165)
Ordinary		 (24,602) (24,602)
N/A
04/19/2021 Merrill Lynch (Australia) Futures Limited BUY 29,684 Ordinary 20,193 20,193
N/A
04/19/2021 Merrill Lynch(Australia)FuturesLimited BUY 26,584 Ordinary 17,726 17,726 N/A
04/20/2021 BofA Securities, Inc. Securities borrowed N/A ADS 100 800
Refer to App. B
04/20/2021 Merrill Lynch (Australia) Futures Limited SELL (249)
Ordinary		 (172) (172)
N/A
04/20/2021 Merrill Lynch (Australia) Futures Limited BUY 4,221
Ordinary		 2,888 2,888
N/A
04/20/2021 Merrill Lynch(Australia)FuturesLimited BUY 31,950 Ordinary 21,947 21,947
N/A
04/20/2021 Merrill Lynch (Australia) Futures Limited SELL (45,729)
Ordinary		 (31,321) (31,321)
N/A
04/20/2021 Merrill Lynch (Australia) Futures Limited BUY 1,962
Ordinary		 1,344 1,344
N/A
04/21/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
04/21/2021 BofASecurities,Inc. Securities borrowed N/A ADS 200 1,600 RefertoApp. B
04/21/2021 Merrill Lynch International SELL (1)
Ordinary		 (1) (1)
N/A
04/21/2021 Merrill Lynch International BUY 1 Ordinary 1 1
N/A
04/21/2021 Merrill Lynch (Australia) Futures Limited BUY 19,892 Ordinary 13,929 13,929
N/A
04/21/2021 Merrill Lynch(Australia)FuturesLimited BUY 15,304 Ordinary 10,671 10,671
N/A
04/21/2021 Merrill Lynch (Australia) Futures Limited SELL (32,285)
Ordinary		 (22,420) (22,420)
N/A
04/22/2021 BofA Securities, Inc. Securities borrowed N/A ADS 100 800
Refer to App. B
04/22/2021 Merrill Lynch International BUY 27 Ordinary 19 19
N/A
04/22/2021 Merrill Lynch International SELL (27) Ordinary (19) (19) N/A
04/22/2021 Merrill Lynch (Australia) Futures Limited SELL (27,465)
Ordinary		 (18,620) (18,620)
N/A
04/22/2021 Merrill Lynch (Australia) Futures Limited BUY 27,190 Ordinary 18,620 18,620
N/A
04/22/2021 Merrill Lynch (Australia) Futures Limited SELL (8,102)
Ordinary		 (5,579) (5,579)
N/A
04/23/2021 BofASecurities,Inc. Securities borrowed N/A ADS 300 2,400 RefertoApp. B
04/23/2021 Merrill Lynch (Australia) Futures Limited SELL (35,380)
Ordinary		 (24,233) (24,233)
N/A
04/23/2021 Merrill Lynch (Australia) Futures Limited SELL (2,398)
Ordinary		 (1,630) (1,630)
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
04/23/2021 Merrill Lynch(Australia)FuturesLimited BUY 32,938 Ordinary 22,603 22,603 N/A
04/26/2021 BofA Securities, Inc. Securities returned N/A ADS (200) (1,600)
Refer to App. B
04/26/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
04/26/2021 Merrill Lynch (Australia) Futures Limited SELL (28,428)
Ordinary		 (19,405) (19,405)
N/A
04/26/2021 Merrill Lynch(Australia)FuturesLimited BUY 28,584 Ordinary 19,405 19,405 N/A
04/27/2021 Merrill Lynch International Securities returned N/A ADS (6,022) (48,176)
Refer to App. B
04/27/2021 BofA Securities, Inc. Securities returned N/A ADS (300) (2,400)
Refer to App. B
04/27/2021 Merrill Lynch International BUY 3 Ordinary 2 2
N/A
04/27/2021 Merrill Lynch International SELL (3) Ordinary (2) (2) N/A
04/27/2021 Merrill Lynch (Australia) Futures Limited SELL (10,478)
Ordinary		 (7,226) (7,226)
N/A
04/27/2021 Merrill Lynch (Australia) Futures Limited BUY 10,568 Ordinary 7,226 7,226
N/A
04/28/2021 Merrill Lynch (Australia) Futures Limited BUY 16,626 Ordinary 11,437 11,437
N/A
04/28/2021 Merrill Lynch(Australia)FuturesLimited SELL (16,584) Ordinary (11,437) (11,437) N/A
04/29/2021 Merrill Lynch (Australia) Futures Limited SELL (21,895)
Ordinary		 (15,048) (15,048)
N/A
04/29/2021 Merrill Lynch (Australia) Futures Limited BUY 9,863
Ordinary		 6,780 6,780
N/A
04/29/2021 Merrill Lynch (Australia) Futures Limited BUY 64,697 Ordinary 44,465 44,465
N/A
04/30/2021 Merrill Lynch International SELL (576) Ordinary (400) (400) N/A
04/30/2021 Merrill Lynch International BUY 1,816
Ordinary		 1,261 1,261
N/A
04/30/2021 Merrill Lynch International SELL (1,816)
Ordinary		 (1,261) (1,261)
N/A
04/30/2021 Merrill Lynch International SELL (37)
Ordinary		 (26) (26)
N/A
04/30/2021 Merrill Lynch International SELL (1,202) Ordinary (835) (835) N/A
04/30/2021 Merrill Lynch (Australia) Futures Limited SELL (19,293)
Ordinary		 (13,398) (13,398)
N/A
04/30/2021 Merrill Lynch (Australia) Futures Limited BUY 19,272 Ordinary 13,398 13,398
N/A
04/30/2021 Merrill Lynch (Australia) Futures Limited BUY 2,200
Ordinary		 1,528 1,528
N/A
04/30/2021 Merrill Lynch(Australia)FuturesLimited SELL (34,032) Ordinary (23,529) (23,529) N/A
05/03/2021 Merrill Lynch (Australia) Futures Limited SELL (24,665)
Ordinary		 (17,010) (17,010)
N/A
05/03/2021 Merrill Lynch (Australia) Futures Limited BUY 59,773 Ordinary 41,219 41,219
N/A
05/03/2021 Merrill Lynch (Australia) Futures Limited SELL (16,922)
Ordinary		 (11,670) (11,670)
N/A
05/03/2021 Merrill Lynch(Australia)FuturesLimited BUY 24,703 Ordinary 17,010 17,010 N/A
05/04/2021 Merrill Lynch (Australia) Futures Limited BUY 8,801
Ordinary		 6,198 6,198
N/A
05/04/2021 Merrill Lynch (Australia) Futures Limited SELL (22,178)
Ordinary		 (15,506) (15,506)
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
05/04/2021 Merrill Lynch(Australia)FuturesLimited BUY 17,320 Ordinary 12,139 12,139 N/A
05/04/2021 Merrill Lynch (Australia) Futures Limited SELL (17,237)
Ordinary		 (12,139) (12,139)
N/A
05/05/2021 Merrill Lynch (Australia) Futures Limited SELL (23,799)
Ordinary		 (16,999) (16,999)
N/A
05/05/2021 Merrill Lynch (Australia) Futures Limited BUY 21,354 Ordinary 15,287 15,287
N/A
05/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 16,235 Ordinary 11,643 11,643 N/A
05/05/2021 Merrill Lynch (Australia) Futures Limited SELL (45,564)
Ordinary		 (32,315) (32,315)
N/A
05/06/2021 Merrill Lynch International BUY 63 Ordinary 45 45
N/A
05/06/2021 Merrill Lynch International SELL (63)
Ordinary		 (45) (45)
N/A
05/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (30,696) Ordinary (21,926) (21,926) N/A
05/06/2021 Merrill Lynch (Australia) Futures Limited BUY 4,433
Ordinary		 3,164 3,164
N/A
05/06/2021 Merrill Lynch (Australia) Futures Limited SELL (8,771)
Ordinary		 (6,282) (6,282)
N/A
05/06/2021 Merrill Lynch (Australia) Futures Limited BUY 30,783 Ordinary 21,926 21,926
N/A
05/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (2,316) Ordinary (1,653) (1,653) N/A
05/07/2021 Merrill Lynch (Australia) Futures Limited SELL (12,585)
Ordinary		 (9,054) (9,054)
N/A
05/07/2021 Merrill Lynch (Australia) Futures Limited BUY 12,599 Ordinary 9,054 9,054
N/A
05/07/2021 Merrill Lynch (Australia) Futures Limited SELL (6,861)
Ordinary		 (4,904) (4,904)
N/A
05/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,615 Ordinary 2,601 2,601
N/A
05/10/2021 Merrill Lynch (Australia) Futures Limited BUY 6,338
Ordinary		 4,565 4,565
N/A
05/10/2021 Merrill Lynch (Australia) Futures Limited BUY 15,249 Ordinary 10,994 10,994
N/A
05/11/2021 Merrill Lynch International BUY 7 Ordinary 5 5
N/A
05/11/2021 Merrill Lynch International SELL (7) Ordinary (5) (5) N/A
05/11/2021 Merrill Lynch (Australia) Futures Limited SELL (26,441)
Ordinary		 (19,022) (19,022)
N/A
05/11/2021 Merrill Lynch (Australia) Futures Limited SELL (79,959)
Ordinary		 (57,941) (57,941)
N/A
05/11/2021 Merrill Lynch (Australia) Futures Limited SELL (289)
Ordinary		 (209) (209)
N/A
05/11/2021 Merrill Lynch(Australia)FuturesLimited BUY 39,679 Ordinary 28,725 28,725 N/A
05/11/2021 Merrill Lynch (Australia) Futures Limited BUY 39,402 Ordinary 28,519 28,519
N/A
05/12/2021 Merrill Lynch (Australia) Futures Limited SELL (19,733)
Ordinary		 (14,299) (14,299)
N/A
05/12/2021 Merrill Lynch (Australia) Futures Limited BUY 6,952
Ordinary		 5,038 5,038
N/A
05/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,716) Ordinary (1,236) (1,236) N/A
05/12/2021 Merrill Lynch (Australia) Futures Limited BUY 19,774 Ordinary 14,299 14,299
N/A
05/13/2021 Merrill Lynch (Australia) Futures Limited SELL (66,296)
Ordinary		 (48,215) (48,215)
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
05/13/2021 Merrill Lynch(Australia)FuturesLimited BUY 25,961 Ordinary 19,077 19,077
N/A
05/13/2021 Merrill Lynch (Australia) Futures Limited BUY 44,312 Ordinary 32,737 32,737
N/A
05/14/2021 Merrill Lynch International Securities returned N/A ADS (5,245) (41,960)
Refer to App. B
05/14/2021 Merrill Lynch International BUY 12 Ordinary 9 9
N/A
05/14/2021 Merrill Lynch International SELL (12) Ordinary (9) (9) N/A
05/14/2021 Merrill Lynch (Australia) Futures Limited SELL (64,160)
Ordinary		 (45,993) (45,993)
N/A
05/14/2021 Merrill Lynch (Australia) Futures Limited BUY 2,930
Ordinary		 2,220 2,220
N/A
05/14/2021 Merrill Lynch (Australia) Futures Limited BUY 46,431 Ordinary 34,128 34,128
N/A
05/14/2021 Merrill Lynch(Australia)FuturesLimited BUY 9,966 Ordinary 7,248 7,248 N/A
05/14/2021 Merrill Lynch (Australia) Futures Limited SELL (10,202)
Ordinary		 (7,476) (7,476)
N/A
05/17/2021 Merrill Lynch (Australia) Futures Limited BUY 1,970
Ordinary		 1,397 1,397
N/A
05/17/2021 Merrill Lynch (Australia) Futures Limited BUY 18,357 Ordinary 13,134 13,134
N/A
05/17/2021 Merrill Lynch(Australia)FuturesLimited BUY 4,566 Ordinary 3,276 3,276 N/A
05/17/2021 Merrill Lynch (Australia) Futures Limited SELL (667)
Ordinary		 (473) (473)
N/A
05/18/2021 Merrill Lynch International Securities returned N/A ADS (20) (160)
Refer to App. B
05/18/2021 Merrill Lynch International BUY 3 Ordinary 2 2
N/A
05/18/2021 Merrill Lynch International SELL (3) Ordinary (2) (2) N/A
05/18/2021 Merrill Lynch (Australia) Futures Limited SELL (53,794)
Ordinary		 (38,017) (38,017)
N/A
05/18/2021 Merrill Lynch (Australia) Futures Limited SELL (463)
Ordinary		 (327) (327)
N/A
05/18/2021 Merrill Lynch (Australia) Futures Limited BUY 2,750
Ordinary		 1,964 1,964
N/A
05/18/2021 Merrill Lynch(Australia)FuturesLimited BUY 30,325 Ordinary 21,607 21,607
N/A
05/19/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (237,297) (237,297)
Refer to App. B
05/19/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (955,011) (955,011)
Refer to App. B
05/19/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (1,007,744) (1,007,744)
Refer to App. B
05/19/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (90,441) (90,441) RefertoApp. B
05/19/2021 Merrill Lynch International Securities returned N/A ADS (20) (160)
Refer to App. B
05/19/2021 BofA Securities, Inc. Securities borrowed N/A ADS 800 6,400
Refer to App. B
05/19/2021 Merrill Lynch International SELL (1)
Ordinary		 (1) (1)
N/A
05/19/2021 Merrill Lynch International BUY 1 Ordinary 1 1
N/A
05/19/2021 Merrill Lynch (Australia) Futures Limited SELL (27,470)
Ordinary		 (19,692) (19,692)
N/A
05/19/2021 Merrill Lynch (Australia) Futures Limited SELL (200)
Ordinary		 (142) (142)
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
05/19/2021 Merrill Lynch(Australia)FuturesLimited BUY 622 Ordinary 446 446 N/A
05/19/2021 Merrill Lynch (Australia) Futures Limited BUY 27,372 Ordinary 19,442 19,442
N/A
05/20/2021 Merrill Lynch (Australia) Futures Limited SELL (16,894)
Ordinary		 (11,732) (11,732)
N/A
05/20/2021 Merrill Lynch (Australia) Futures Limited BUY 2,830
Ordinary		 2,026 2,026
N/A
05/20/2021 Merrill Lynch(Australia)FuturesLimited BUY 11,813 Ordinary 8,356 8,356 N/A
05/20/2021 Merrill Lynch (Australia) Futures Limited SELL (1,789)
Ordinary		 (1,265) (1,265)
N/A
05/21/2021 BofA Securities, Inc. Securities borrowed N/A ADS 400 3,200
Refer to App. B
05/21/2021 Merrill Lynch (Australia) Futures Limited SELL (66,010)
Ordinary		 (43,715) (43,715)
N/A
05/21/2021 Merrill Lynch(Australia)FuturesLimited SELL (2,119) Ordinary (1,394) (1,394) N/A
05/21/2021 Merrill Lynch (Australia) Futures Limited BUY 13,982 Ordinary 9,676 9,676
N/A
05/21/2021 Merrill Lynch (Australia) Futures Limited BUY 55,991 Ordinary 38,015 38,015
N/A
05/24/2021 BofA Securities, Inc. Securities borrowed N/A ADS 900 7,200
Refer to App. B
05/24/2021 Merrill Lynch(Australia)FuturesLimited SELL (22,218) Ordinary (15,114) (15,114) N/A
05/24/2021 Merrill Lynch (Australia) Futures Limited BUY 2,359
Ordinary		 1,542 1,542
N/A
05/24/2021 Merrill Lynch (Australia) Futures Limited BUY 20,101 Ordinary 13,572 13,572
N/A
05/25/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 1,590,646 1,590,646
Refer to App. B
05/25/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
05/25/2021 Merrill Lynch (Australia) Futures Limited BUY 757 Ordinary 524 524
N/A
05/25/2021 Merrill Lynch (Australia) Futures Limited BUY 39,882 Ordinary 27,600 27,600
N/A
05/25/2021 Merrill Lynch (Australia) Futures Limited SELL (29,310)
Ordinary		 (20,284) (20,284)
N/A
05/25/2021 Merrill Lynch(Australia)FuturesLimited BUY 27,744 Ordinary 18,950 18,950 N/A
05/26/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 741,900 741,900
Refer to App. B
05/26/2021 Merrill Lynch International Securities returned N/A ADS (20) (160)
Refer to App. B
05/26/2021 BofA Securities, Inc. Securities borrowed N/A ADS 200 1,600
Refer to App. B
05/26/2021 Merrill Lynch(Australia)FuturesLimited SELL (31,870) Ordinary (21,829) (21,829) N/A
05/26/2021 Merrill Lynch (Australia) Futures Limited SELL (184)
Ordinary		 (125) (125)
N/A
05/26/2021 Merrill Lynch (Australia) Futures Limited BUY 515 Ordinary 353 353
N/A
05/26/2021 Merrill Lynch (Australia) Futures Limited BUY 3,897
Ordinary		 2,669 2,669
N/A
05/26/2021 Merrill Lynch(Australia)FuturesLimited SELL (21,889) Ordinary (14,827) (14,827) N/A
05/26/2021 Merrill Lynch (Australia) Futures Limited BUY 32,349 Ordinary 21,829 21,829
N/A
05/27/2021 BofA Securities, Inc. Securities returned N/A ADS (300) (2,400)
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
05/27/2021 Merrill Lynch(Australia)FuturesLimited SELL (9,217) Ordinary (6,224) (6,224) N/A
05/27/2021 Merrill Lynch (Australia) Futures Limited BUY 28,861 Ordinary 19,471 19,471
N/A
05/27/2021 Merrill Lynch (Australia) Futures Limited SELL (45,226)
Ordinary		 (30,353) (30,353)
N/A
05/27/2021 Merrill Lynch (Australia) Futures Limited BUY 15,378 Ordinary 10,446 10,446
N/A
05/28/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (200) (200) RefertoApp. B
05/28/2021 Merrill Lynch (Australia) Futures Limited SELL (44,267)
Ordinary		 (29,610) (29,610)
N/A
05/28/2021 Merrill Lynch (Australia) Futures Limited SELL (6,027)
Ordinary		 (3,942) (3,942)
N/A
05/28/2021 Merrill Lynch (Australia) Futures Limited BUY 45,025 Ordinary 29,610 29,610
N/A
05/28/2021 Merrill Lynch(Australia)FuturesLimited BUY 2,437
Ordinary		 1,630 1,630 N/A
05/28/2021 Merrill Lynch (Australia) Futures Limited SELL (26)
Ordinary		 (17) (17)
N/A
05/31/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (2,192) (2,192)
Refer to App. B
05/31/2021 Merrill Lynch (Australia) Futures Limited BUY 5,917
Ordinary		 3,959 3,959
N/A
05/31/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,966) Ordinary (1,309) (1,309) N/A
05/31/2021 Merrill Lynch (Australia) Futures Limited SELL (2,106)
Ordinary		 (1,395) (1,395)
N/A
05/31/2021 Merrill Lynch (Australia) Futures Limited SELL (27,278)
Ordinary		 (18,065) (18,065)
N/A
05/31/2021 Merrill Lynch (Australia) Futures Limited BUY 16,872 Ordinary 11,279 11,279
N/A
06/01/2021 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 348,724 348,724
RefertoApp. B
06/01/2021 BofA Securities, Inc. Securities returned N/A ADS (200) (1,600)
Refer to App. B
06/01/2021 BofA Securities, Inc. Securities returned N/A ADS (300) (2,400)
Refer to App. B
06/01/2021 Merrill Lynch (Australia) Futures Limited SELL (2,733)
Ordinary		 (1,808) (1,808)
N/A
06/01/2021 Merrill Lynch(Australia)FuturesLimited BUY 12,315 Ordinary 8,174 8,174
N/A
06/01/2021 Merrill Lynch (Australia) Futures Limited SELL (10,035)
Ordinary		 (6,559) (6,559)
N/A
06/01/2021 Merrill Lynch (Australia) Futures Limited BUY 801,100 Ordinary 533,533 533,533
N/A
06/01/2021 Merrill Lynch (Australia) Futures Limited BUY 232 Ordinary 154 154
N/A
06/01/2021 Merrill Lynch(Australia)FuturesLimited BUY 17,619 Ordinary 11,707 11,707
N/A
06/02/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (348,724) (348,724)
Refer to App. B
06/02/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (13,047) (13,047)
Refer to App. B
06/02/2021 Merrill Lynch (Australia) Futures Limited SELL (49,624)
Ordinary		 (33,193) (33,193)
N/A
06/02/2021 Merrill Lynch(Australia)FuturesLimited BUY 38,817 Ordinary 25,832 25,832
N/A
06/02/2021 Merrill Lynch (Australia) Futures Limited BUY 5,848
Ordinary		 3,895 3,895
N/A
06/02/2021 Merrill Lynch (Australia) Futures Limited BUY 16,757 Ordinary 11,246 11,246
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
06/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,637) Ordinary (1,095) (1,095) N/A
06/03/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 363,108 363,108
Refer to App. B
06/03/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (229,680) (229,680)
Refer to App. B
06/03/2021 BofA Securities, Inc. Securities returned N/A ADS (300) (2,400)
Refer to App. B
06/03/2021 Merrill Lynch(Australia)FuturesLimited SELL (42,525) Ordinary (28,733) (28,733) N/A
06/03/2021 Merrill Lynch (Australia) Futures Limited SELL (2,695)
Ordinary		 (1,780) (1,780)
N/A
06/03/2021 Merrill Lynch (Australia) Futures Limited BUY 16,482 Ordinary 11,212 11,212
N/A
06/03/2021 Merrill Lynch (Australia) Futures Limited BUY 26,402 Ordinary 17,825 17,825
N/A
06/04/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (755) (755) RefertoApp. B
06/04/2021 Merrill Lynch International Securities returned N/A ADS (7) (56)
Refer to App. B
06/04/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
06/04/2021 BofA Securities, Inc. Securities returned N/A ADS (200) (1,600)
Refer to App. B
06/04/2021 Merrill Lynch(Australia)FuturesLimited SELL (33,637) Ordinary (22,728) (22,728) N/A
06/04/2021 Merrill Lynch (Australia) Futures Limited BUY 16,034 Ordinary 10,929 10,929
N/A
06/04/2021 Merrill Lynch (Australia) Futures Limited SELL (4,705)
Ordinary		 (3,179) (3,179)
N/A
06/07/2021 Merrill Lynch International Securities returned N/A ADS (55) (440)
Refer to App. B
06/07/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (200) (1,600) RefertoApp. B
06/07/2021 Merrill Lynch (Australia) Futures Limited BUY 3,027
Ordinary		 2,067 2,067
N/A
06/07/2021 Merrill Lynch (Australia) Futures Limited SELL (2,628)
Ordinary		 (1,800) (1,800)
N/A
06/07/2021 Merrill Lynch (Australia) Futures Limited BUY 32,902 Ordinary 22,554 22,554
N/A
06/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,310 Ordinary 2,294 2,294
N/A
06/07/2021 Merrill Lynch (Australia) Futures Limited SELL (43,856)
Ordinary		 (29,936) (29,936)
N/A
06/08/2021 Merrill Lynch (Australia) Futures Limited BUY 21,129 Ordinary 14,290 14,290
N/A
06/08/2021 Merrill Lynch (Australia) Futures Limited SELL (8,334)
Ordinary		 (5,627) (5,627)
N/A
06/08/2021 Merrill Lynch(Australia)FuturesLimited BUY 460 Ordinary 317 317
N/A
06/08/2021 Merrill Lynch (Australia) Futures Limited SELL (25,250)
Ordinary		 (17,061) (17,061)
N/A
06/08/2021 Merrill Lynch (Australia) Futures Limited BUY 16,447 Ordinary 11,264 11,264
N/A
06/09/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 225,776 225,776
Refer to App. B
06/09/2021 Merrill Lynch International Securitiesreturned N/A ADS (5) (40) RefertoApp. B
06/09/2021 Merrill Lynch (Australia) Futures Limited BUY 60,101 Ordinary 41,806 41,806
N/A
06/09/2021 Merrill Lynch (Australia) Futures Limited BUY 14,982 Ordinary 10,551 10,551
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
06/09/2021 Merrill Lynch(Australia)FuturesLimited SELL (3,216) Ordinary (2,205) (2,205) N/A
06/09/2021 Merrill Lynch (Australia) Futures Limited SELL (78,936)
Ordinary		 (53,335) (53,335)
N/A
06/10/2021 BofA Securities, Inc. Securities borrowed N/A ADS 200 1,600
Refer to App. B
06/10/2021 Merrill Lynch (Australia) Futures Limited BUY 1,037
Ordinary		 733 733
N/A
06/10/2021 Merrill Lynch(Australia)FuturesLimited BUY 23,256 Ordinary 16,211 16,211
N/A
06/10/2021 Merrill Lynch (Australia) Futures Limited SELL (1)
Ordinary		 (1) (1)
N/A
06/10/2021 Merrill Lynch (Australia) Futures Limited SELL (23,182)
Ordinary		 (16,211) (16,211)
N/A
06/11/2021 BofA Securities, Inc. Securities borrowed N/A ADS 200 1,600
Refer to App. B
06/11/2021 Merrill Lynch(Australia)FuturesLimited SELL (240) Ordinary (167) (167) N/A
06/11/2021 Merrill Lynch (Australia) Futures Limited BUY 39,983 Ordinary 28,228 28,228
N/A
06/11/2021 Merrill Lynch (Australia) Futures Limited BUY 22,239 Ordinary 15,762 15,762
N/A
06/11/2021 Merrill Lynch (Australia) Futures Limited SELL (41,566)
Ordinary		 (28,966) (28,966)
N/A
06/15/2021 Merrill Lynch International Securitiesreturned N/A ADS (49,298) (394,384) RefertoApp. B
06/15/2021 Merrill Lynch (Australia) Futures Limited SELL (18,190)
Ordinary		 (12,767) (12,767)
N/A
06/15/2021 Merrill Lynch (Australia) Futures Limited BUY 40,122 Ordinary 28,068 28,068
N/A
06/15/2021 Merrill Lynch (Australia) Futures Limited BUY 54,553 Ordinary 38,556 38,556
N/A
06/15/2021 Merrill Lynch(Australia)FuturesLimited BUY 32,225 Ordinary 22,439 22,439 N/A
06/15/2021 Merrill Lynch (Australia) Futures Limited SELL (75,875)
Ordinary		 (53,622) (53,622)
N/A
06/16/2021 Merrill Lynch International Securities returned N/A ADS (87) (696)
Refer to App. B
06/16/2021 BofA Securities, Inc. Securities borrowed N/A ADS 100 800
Refer to App. B
06/16/2021 Merrill Lynch(Australia)FuturesLimited BUY 18,916 Ordinary 13,373 13,373 N/A
06/16/2021 Merrill Lynch (Australia) Futures Limited BUY 23,739 Ordinary 16,776 16,776
N/A
06/16/2021 Merrill Lynch (Australia) Futures Limited SELL (5,198)
Ordinary		 (3,714) (3,714)
N/A
06/16/2021 Merrill Lynch (Australia) Futures Limited BUY 34,187 Ordinary 24,232 24,232
N/A
06/16/2021 Merrill Lynch(Australia)FuturesLimited SELL (100,062) Ordinary (70,966) (70,966) N/A
06/17/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (24,659) (24,659)
Refer to App. B
06/17/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (22,567) (22,567)
Refer to App. B
06/17/2021 Merrill Lynch International Securities borrowed N/A ADS 93,363 746,904
Refer to App. B
06/17/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
06/17/2021 Merrill Lynch (Australia) Futures Limited BUY 228,442 Ordinary 143,206 143,206
N/A
06/17/2021 Merrill Lynch (Australia) Futures Limited SELL (53,538)
Ordinary		 (32,928) (32,928)
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
06/17/2021 Merrill Lynch(Australia)FuturesLimited BUY 179,500 Ordinary 114,884 114,884
N/A
06/17/2021 Merrill Lynch (Australia) Futures Limited SELL (339,900)
Ordinary		 (204,144) (204,144)
N/A
06/17/2021 Merrill Lynch (Australia) Futures Limited BUY 59,823 Ordinary 37,587 37,587
N/A
06/18/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (121,902) (121,902)
Refer to App. B
06/18/2021 Merrill Lynch International Securitiesreturned N/A ADS (93,363) (746,904) RefertoApp. B
06/18/2021 Merrill Lynch International Securities returned N/A ADS (657,997) (5,263,976)
Refer to App. B
06/18/2021 Merrill Lynch International Securities borrowed N/A ADS 751,360 6,010,880
Refer to App. B
06/18/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
06/18/2021 Merrill Lynch(Australia)FuturesLimited SELL (111,399) Ordinary (76,527) (76,527) N/A
06/18/2021 Merrill Lynch (Australia) Futures Limited BUY 137,084 Ordinary 95,223 95,223
N/A
06/18/2021 Merrill Lynch (Australia) Futures Limited BUY 8,427
Ordinary		 5,944 5,944
N/A
06/18/2021 Merrill Lynch (Australia) Futures Limited SELL (145,741)
Ordinary		 (101,209) (101,209)
N/A
06/21/2021 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 250,056 250,056 RefertoApp. B
06/21/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (56,648) (56,648)
Refer to App. B
06/21/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (193,631) (193,631)
Refer to App. B
06/21/2021 Merrill Lynch International Securities returned N/A ADS (350,382) (2,803,056)
Refer to App. B
06/21/2021 Merrill Lynch International Securitiesreturned N/A ADS (249,913) (1,999,304) RefertoApp. B
06/21/2021 Merrill Lynch (Australia) Futures Limited BUY 18,249 Ordinary 13,747 13,747
N/A
06/21/2021 Merrill Lynch (Australia) Futures Limited BUY 148,586 Ordinary 110,115 110,115
N/A
06/21/2021 Merrill Lynch (Australia) Futures Limited BUY 4,903
Ordinary		 3,579 3,579
N/A
06/21/2021 Merrill Lynch(Australia)FuturesLimited SELL (169,497) Ordinary (127,441) (127,441) N/A
06/22/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (16,786) (16,786)
Refer to App. B
06/22/2021 Merrill Lynch International Securities returned N/A ADS (9) (72)
Refer to App. B
06/22/2021 Merrill Lynch (Australia) Futures Limited BUY 75,417 Ordinary 57,473 57,473
N/A
06/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,870 Ordinary 10,628 10,628 N/A
06/22/2021 Merrill Lynch (Australia) Futures Limited SELL (88,872)
Ordinary		 (68,101) (68,101)
N/A
06/23/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (66,897) (66,897)
Refer to App. B
06/23/2021 Merrill Lynch (Australia) Futures Limited BUY 25,324 Ordinary 20,019 20,019
N/A
06/23/2021 Merrill Lynch(Australia)FuturesLimited BUY 83,317 Ordinary 65,771 65,771
N/A
06/23/2021 Merrill Lynch (Australia) Futures Limited SELL (11,172)
Ordinary		 (8,728) (8,728)
N/A
06/23/2021 Merrill Lynch (Australia) Futures Limited BUY 11,331 Ordinary 8,966 8,966
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
06/23/2021 Merrill Lynch(Australia)FuturesLimited SELL (110,116) Ordinary (86,028) (86,028) N/A
06/24/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (18,348) (18,348)
Refer to App. B
06/24/2021 Merrill Lynch (Australia) Futures Limited BUY 114,648 Ordinary 87,378 87,378
N/A
06/24/2021 Merrill Lynch (Australia) Futures Limited BUY 9,345
Ordinary		 7,100 7,100
N/A
06/24/2021 Merrill Lynch(Australia)FuturesLimited SELL (122,349) Ordinary (94,478) (94,478) N/A
06/25/2021 BofA Securities, Inc. Securities borrowed N/A ADS 400 3,200
Refer to App. B
06/25/2021 Merrill Lynch International BUY 188 Ordinary 148 148
N/A
06/25/2021 Merrill Lynch International SELL (188)
Ordinary		 (148) (148)
N/A
06/25/2021 Merrill Lynch(Australia)FuturesLimited BUY 42,994 Ordinary 33,738 33,738 N/A
06/25/2021 Merrill Lynch (Australia) Futures Limited SELL (42,847)
Ordinary		 (33,738) (33,738)
N/A
06/28/2021 BofA Securities, Inc. Securities returned N/A ADS (400) (3,200)
Refer to App. B
06/28/2021 BofA Securities, Inc. Securities returned N/A ADS (200) (1,600)
Refer to App. B
06/28/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
06/28/2021 BofA Securities, Inc. Securities returned N/A ADS (600) (4,800)
Refer to App. B
06/28/2021 Merrill Lynch (Australia) Futures Limited BUY 103,265 Ordinary 79,916 79,916
N/A
06/28/2021 Merrill Lynch (Australia) Futures Limited BUY 53,117 Ordinary 41,759 41,759
N/A
06/28/2021 Merrill Lynch(Australia)FuturesLimited SELL (159,394) Ordinary (121,675) (121,675) N/A
06/29/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 158,291 158,291
Refer to App. B
06/29/2021 Merrill Lynch (Australia) Futures Limited BUY 57,088 Ordinary 44,337 44,337
N/A
06/29/2021 Merrill Lynch (Australia) Futures Limited BUY 1,738
Ordinary		 1,332 1,332
N/A
06/29/2021 Merrill Lynch(Australia)FuturesLimited SELL (59,370) Ordinary (45,669) (45,669) N/A
06/30/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (66,691) (66,691)
Refer to App. B
06/30/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (9,425) (9,425)
Refer to App. B
06/30/2021 Merrill Lynch (Australia) Futures Limited BUY 75,128 Ordinary 56,981 56,981
N/A
06/30/2021 Merrill Lynch(Australia)FuturesLimited BUY 257,718 Ordinary 197,692 197,692
N/A
06/30/2021 Merrill Lynch (Australia) Futures Limited SELL (76,070)
Ordinary		 (56,981) (56,981)
N/A
06/30/2021 Merrill Lynch (Australia) Futures Limited SELL (115,935)
Ordinary		 (88,859) (88,859)
N/A
07/01/2021 Merrill Lynch (Australia) Futures Limited SELL (31,562)
Ordinary		 (24,562) (24,562)
N/A
07/01/2021 Merrill Lynch(Australia)FuturesLimited BUY 32,040 Ordinary 24,562 24,562
N/A
07/02/2021 BofA Securities, Inc. Securities borrowed N/A ADS 800 6,400
Refer to App. B
07/02/2021 Merrill Lynch (Australia) Futures Limited SELL (27,007)
Ordinary		 (20,936) (20,936)
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
07/02/2021 Merrill Lynch(Australia)FuturesLimited BUY 2,049 Ordinary 1,607 1,607
N/A
07/02/2021 Merrill Lynch (Australia) Futures Limited BUY 26,203 Ordinary 20,551 20,551
N/A
07/02/2021 Merrill Lynch (Australia) Futures Limited SELL (83,753)
Ordinary		 (65,689) (65,689)
N/A
07/02/2021 Merrill Lynch (Australia) Futures Limited BUY 19,147 Ordinary 14,802 14,802
N/A
07/05/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (31,872) (31,872) RefertoApp. B
07/05/2021 Merrill Lynch (Australia) Futures Limited BUY 26,167 Ordinary 20,683 20,683
N/A
07/05/2021 Merrill Lynch (Australia) Futures Limited SELL (9,058)
Ordinary		 (7,142) (7,142)
N/A
07/05/2021 Merrill Lynch (Australia) Futures Limited SELL (52,460)
Ordinary		 (41,366) (41,366)
N/A
07/05/2021 Merrill Lynch(Australia)FuturesLimited SELL (29,917) Ordinary (23,744) (23,744) N/A
07/06/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 98,899 98,899
Refer to App. B
07/06/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (58,201) (58,201)
Refer to App. B
07/06/2021 BofA Securities, Inc. Securities borrowed N/A ADS 2,200 17,600
Refer to App. B
07/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (264,337) Ordinary (188,812) (188,812) N/A
07/06/2021 Merrill Lynch (Australia) Futures Limited SELL (21,664)
Ordinary		 (15,573) (15,573)
N/A
07/06/2021 Merrill Lynch (Australia) Futures Limited BUY 206,207 Ordinary 150,331 150,331
N/A
07/06/2021 Merrill Lynch (Australia) Futures Limited SELL (5,216)
Ordinary		 (3,800) (3,800)
N/A
07/06/2021 Merrill Lynch(Australia)FuturesLimited BUY 207,360 Ordinary 150,775 150,775 N/A
07/07/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (21,763) (21,763)
Refer to App. B
07/07/2021 Merrill Lynch (Australia) Futures Limited BUY 77,178 Ordinary 57,472 57,472
N/A
07/07/2021 Merrill Lynch (Australia) Futures Limited SELL (7,725)
Ordinary		 (5,618) (5,618)
N/A
07/07/2021 Merrill Lynch(Australia)FuturesLimited SELL (76,438) Ordinary (57,472) (57,472) N/A
07/08/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (3,140) (3,140)
Refer to App. B
07/08/2021 BofA Securities, Inc. Securities borrowed N/A ADS 600 4,800
Refer to App. B
07/08/2021 Merrill Lynch International BUY 333 Ordinary 257 257
N/A
07/08/2021 Merrill Lynch(Australia)FuturesLimited BUY 108,572 Ordinary 83,452 83,452
N/A
07/08/2021 Merrill Lynch (Australia) Futures Limited BUY 53,487 Ordinary 40,984 40,984
N/A
07/08/2021 Merrill Lynch (Australia) Futures Limited SELL (37,956)
Ordinary		 (29,008) (29,008)
N/A
07/08/2021 Merrill Lynch (Australia) Futures Limited SELL (140,709)
Ordinary		 (108,238) (108,238)
N/A
07/09/2021 Merrill Lynch International Securities borrowed N/A ADS 35,706 285,648 RefertoApp. B
07/09/2021 BofA Securities, Inc. Securities borrowed N/A ADS 100 800
Refer to App. B
07/09/2021 Merrill Lynch (Australia) Futures Limited BUY 2,690
Ordinary		 2,069 2,069
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
07/09/2021 Merrill Lynch(Australia)FuturesLimited BUY 37,394 Ordinary 29,415 29,415 N/A
07/09/2021 Merrill Lynch (Australia) Futures Limited SELL (11,643)
Ordinary		 (8,956) (8,956)
N/A
07/09/2021 Merrill Lynch (Australia) Futures Limited SELL (83,542)
Ordinary		 (65,894) (65,894)
N/A
07/09/2021 Merrill Lynch (Australia) Futures Limited SELL (49,376)
Ordinary		 (38,726) (38,726)
N/A
07/12/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (62) (62) RefertoApp. B
07/12/2021 Merrill Lynch International Securities returned N/A ADS (400,969) (3,207,752)
Refer to App. B
07/12/2021 Merrill Lynch International Securities returned N/A ADS (35,706) (285,648)
Refer to App. B
07/12/2021 Merrill Lynch International Securities borrowed N/A ADS 436,675 3,493,400
Refer to App. B
07/12/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
07/12/2021 BofA Securities, Inc. Securities returned N/A ADS (2,200) (17,600)
Refer to App. B
07/12/2021 BofA Securities, Inc. Securities returned N/A ADS (800) (6,400)
Refer to App. B
07/12/2021 BofA Securities, Inc. Securities returned N/A ADS (500) (4,000)
Refer to App. B
07/12/2021 Merrill Lynch(Australia)FuturesLimited BUY 67,482 Ordinary 51,425 51,425 N/A
07/12/2021 Merrill Lynch (Australia) Futures Limited BUY 29,122 Ordinary 21,834 21,834
N/A
07/12/2021 Merrill Lynch (Australia) Futures Limited SELL (97,068)
Ordinary		 (73,259) (73,259)
N/A
07/13/2021 Merrill Lynch International Securities returned N/A ADS (12) (96)
Refer to App. B
07/13/2021 BofASecurities,Inc. Securities borrowed N/A ADS 700 5,600 RefertoApp. B
07/13/2021 BofA Securities, Inc. Securities borrowed N/A ADS 1,600 12,800
Refer to App. B
07/13/2021 Merrill Lynch (Australia) Futures Limited BUY 58,419 Ordinary 44,631 44,631
N/A
07/13/2021 Merrill Lynch (Australia) Futures Limited BUY 8,560
Ordinary		 6,636 6,636
N/A
07/13/2021 Merrill Lynch(Australia)FuturesLimited SELL (2,574) Ordinary (1,964) (1,964) N/A
07/13/2021 Merrill Lynch (Australia) Futures Limited SELL (64,833)
Ordinary		 (49,303) (49,303)
N/A
07/14/2021 BofA Securities, Inc. Securities borrowed N/A ADS 900 7,200
Refer to App. B
07/14/2021 Merrill Lynch (Australia) Futures Limited BUY 1 Ordinary 1 1
N/A
07/14/2021 Merrill Lynch(Australia)FuturesLimited BUY 71,898 Ordinary 54,234 54,234
N/A
07/14/2021 Merrill Lynch (Australia) Futures Limited BUY 37,047 Ordinary 27,570 27,570
N/A
07/14/2021 Merrill Lynch (Australia) Futures Limited SELL (89,058)
Ordinary		 (66,214) (66,214)
N/A
07/15/2021 BofA Securities, Inc. Securities returned N/A ADS (300) (2,400)
Refer to App. B
07/15/2021 Merrill Lynch(Australia)FuturesLimited BUY 52,721 Ordinary 39,719 39,719 N/A
07/15/2021 Merrill Lynch (Australia) Futures Limited SELL (11,203)
Ordinary		 (8,420) (8,420)
N/A
07/15/2021 Merrill Lynch (Australia) Futures Limited BUY 821 Ordinary 624 624
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
07/15/2021 Merrill Lynch(Australia)FuturesLimited SELL (51,635) Ordinary (39,719) (39,719) N/A
07/16/2021 BofA Securities, Inc. Securities borrowed N/A ADS 5,700 45,600
Refer to App. B
07/16/2021 Merrill Lynch (Australia) Futures Limited BUY 11,567 Ordinary 9,144 9,144
N/A
07/16/2021 Merrill Lynch (Australia) Futures Limited SELL (4,914)
Ordinary		 (3,802) (3,802)
N/A
07/16/2021 Merrill Lynch(Australia)FuturesLimited BUY 58,698 Ordinary 46,294 46,294
N/A
07/16/2021 Merrill Lynch (Australia) Futures Limited SELL (58,562)
Ordinary		 (46,294) (46,294)
N/A
07/19/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (33,828) (33,828)
Refer to App. B
07/19/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (35,676) (35,676)
Refer to App. B
07/19/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (1,300) (10,400) RefertoApp. B
07/19/2021 BofA Securities, Inc. Securities returned N/A ADS (900) (7,200)
Refer to App. B
07/19/2021 BofA Securities, Inc. Securities returned N/A ADS (3,200) (25,600)
Refer to App. B
07/19/2021 Merrill Lynch (Australia) Futures Limited BUY 102,170 Ordinary 81,800 81,800
N/A
07/19/2021 Merrill Lynch(Australia)FuturesLimited BUY 36,695 Ordinary 29,397 29,397
N/A
07/19/2021 Merrill Lynch (Australia) Futures Limited SELL (150,370)
Ordinary		 (120,296) (120,296)
N/A
07/20/2021 BofA Securities, Inc. Securities returned N/A ADS (1,500) (12,000)
Refer to App. B
07/20/2021 Merrill Lynch (Australia) Futures Limited BUY 40,742 Ordinary 32,682 32,682
N/A
07/20/2021 Merrill Lynch(Australia)FuturesLimited SELL (9,604) Ordinary (7,702) (7,702) N/A
07/20/2021 Merrill Lynch (Australia) Futures Limited BUY 9,653
Ordinary		 7,785 7,785
N/A
07/20/2021 Merrill Lynch (Australia) Futures Limited SELL (40,526)
Ordinary		 (32,682) (32,682)
N/A
07/21/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 147,031 147,031
Refer to App. B
07/21/2021 BofASecurities,Inc. Securities borrowed N/A ADS 400 3,200 RefertoApp. B
07/21/2021 Merrill Lynch (Australia) Futures Limited BUY 28,712 Ordinary 22,519 22,519
N/A
07/21/2021 Merrill Lynch (Australia) Futures Limited BUY 3,266
Ordinary		 2,594 2,594
N/A
07/21/2021 Merrill Lynch (Australia) Futures Limited SELL (3,430)
Ordinary		 (2,686) (2,686)
N/A
07/21/2021 Merrill Lynch(Australia)FuturesLimited SELL (27,810) Ordinary (21,984) (21,984) N/A
07/22/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (10,421) (10,421)
Refer to App. B
07/22/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
07/22/2021 BofA Securities, Inc. Securities returned N/A ADS (300) (2,400)
Refer to App. B
07/22/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
07/22/2021 Merrill Lynch (Australia) Futures Limited SELL (2,580)
Ordinary		 (2,015) (2,015)
N/A
07/22/2021 Merrill Lynch (Australia) Futures Limited BUY 54,267 Ordinary 42,394 42,394
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
07/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 5,032
Ordinary		 3,947 3,947
N/A
07/22/2021 Merrill Lynch (Australia) Futures Limited SELL (54,052)
Ordinary		 (42,394) (42,394)
N/A
07/23/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (21,033) (21,033)
Refer to App. B
07/23/2021 Merrill Lynch International Securities returned N/A ADS (2) (16)
Refer to App. B
07/23/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (200) (1,600) RefertoApp. B
07/23/2021 BofA Securities, Inc. Securities returned N/A ADS (700) (5,600)
Refer to App. B
07/23/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
07/23/2021 Merrill Lynch (Australia) Futures Limited BUY 17,362 Ordinary 13,309 13,309
N/A
07/23/2021 Merrill Lynch(Australia)FuturesLimited BUY 61,241 Ordinary 46,119 46,119 N/A
07/23/2021 Merrill Lynch (Australia) Futures Limited BUY 35,978 Ordinary 26,747 26,747
N/A
07/23/2021 Merrill Lynch (Australia) Futures Limited SELL (13,810)
Ordinary		 (10,359) (10,359)
N/A
07/23/2021 Merrill Lynch (Australia) Futures Limited SELL (80,316)
Ordinary		 (60,162) (60,162)
N/A
07/26/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (21,516) (21,516) RefertoApp. B
07/26/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
07/26/2021 Merrill Lynch (Australia) Futures Limited SELL (41,836)
Ordinary		 (31,694) (31,694)
N/A
07/26/2021 Merrill Lynch (Australia) Futures Limited BUY 41,714 Ordinary 31,694 31,694
N/A
07/26/2021 Merrill Lynch(Australia)FuturesLimited SELL (9,070) Ordinary (6,832) (6,832) N/A
07/26/2021 Merrill Lynch (Australia) Futures Limited SELL (473)
Ordinary		 (358) (358)
N/A
07/27/2021 BofA Securities, Inc. Securities borrowed N/A ADS 500 4,000
Refer to App. B
07/27/2021 Merrill Lynch (Australia) Futures Limited BUY 122,222 Ordinary 94,911 94,911
N/A
07/27/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,336) Ordinary (1,040) (1,040) N/A
07/27/2021 Merrill Lynch (Australia) Futures Limited SELL (2,029)
Ordinary		 (1,591) (1,591)
N/A
07/27/2021 Merrill Lynch (Australia) Futures Limited BUY 33,047 Ordinary 25,789 25,789
N/A
07/27/2021 Merrill Lynch (Australia) Futures Limited SELL (49,363)
Ordinary		 (38,118) (38,118)
N/A
07/28/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (10,253) (10,253) RefertoApp. B
07/28/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (51,281) (51,281)
Refer to App. B
07/28/2021 BofA Securities, Inc. Securities borrowed N/A ADS 700 5,600
Refer to App. B
07/28/2021 BofA Securities, Inc. Securities borrowed N/A ADS 800 6,400
Refer to App. B
07/28/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (500) (4,000) RefertoApp. B
07/28/2021 Merrill Lynch (Australia) Futures Limited SELL (57,780)
Ordinary		 (45,318) (45,318)
N/A
07/28/2021 Merrill Lynch (Australia) Futures Limited BUY 17,464 Ordinary 13,697 13,697
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
07/28/2021 Merrill Lynch(Australia)FuturesLimited BUY 43,679 Ordinary 34,101 34,101
N/A
07/29/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (6,726) (6,726)
Refer to App. B
07/29/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (89,024) (89,024)
Refer to App. B
07/29/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (250,056) (250,056)
Refer to App. B
07/29/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (496,781) (496,781) RefertoApp. B
07/29/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (849,960) (849,960)
Refer to App. B
07/29/2021 BofA Securities, Inc. Securities borrowed N/A ADS 200 1,600
Refer to App. B
07/29/2021 Merrill Lynch (Australia) Futures Limited BUY 11,355 Ordinary 8,909 8,909
N/A
07/29/2021 Merrill Lynch(Australia)FuturesLimited SELL (528) Ordinary (409) (409) N/A
07/29/2021 Merrill Lynch (Australia) Futures Limited SELL (14,348)
Ordinary		 (11,342) (11,342)
N/A
07/29/2021 Merrill Lynch (Australia) Futures Limited BUY 1,411
Ordinary		 1,110 1,110
N/A
07/29/2021 Merrill Lynch (Australia) Futures Limited SELL (559)
Ordinary		 (442) (442)
N/A
07/30/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (5,880) (5,880) RefertoApp. B
07/30/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
07/30/2021 BofA Securities, Inc. Securities returned N/A ADS (700) (5,600)
Refer to App. B
07/30/2021 Merrill Lynch (Australia) Futures Limited BUY 10,164 Ordinary 8,131 8,131
N/A
07/30/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,362 Ordinary 10,612 10,612
N/A
07/30/2021 Merrill Lynch (Australia) Futures Limited SELL (13,334)
Ordinary		 (10,667) (10,667)
N/A
07/30/2021 Merrill Lynch (Australia) Futures Limited SELL (387)
Ordinary		 (306) (306)
N/A
08/02/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 1,682,391 1,682,391
Refer to App. B
08/02/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (100) (800) RefertoApp. B
08/02/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800)
Refer to App. B
08/02/2021 Merrill Lynch (Australia) Futures Limited SELL (5,038)
Ordinary		 (4,038) (4,038)
N/A
08/02/2021 Merrill Lynch (Australia) Futures Limited BUY 29,681 Ordinary 23,860 23,860
N/A
08/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (34,873) Ordinary (27,898) (27,898) N/A
08/03/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (734,806) (734,806)
Refer to App. B
08/03/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (194,894) (194,894)
Refer to App. B
08/03/2021 Merrill Lynch International Securities returned N/A ADS (83,581) (668,648)
Refer to App. B
08/03/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (500) (4,000) RefertoApp. B
08/03/2021 BofA Securities, Inc. Securities returned N/A ADS (800) (6,400)
Refer to App. B
08/03/2021 Merrill Lynch (Australia) Futures Limited SELL (97,078)
Ordinary		 (75,842) (75,842)
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
08/03/2021 Merrill Lynch(Australia)FuturesLimited BUY 69,858 Ordinary 54,418 54,418 N/A
08/03/2021 Merrill Lynch (Australia) Futures Limited BUY 33,593 Ordinary 26,304 26,304
N/A
08/03/2021 Merrill Lynch (Australia) Futures Limited BUY 1 Ordinary 1 1
N/A
08/03/2021 Merrill Lynch (Australia) Futures Limited BUY 63,614 Ordinary 49,537 49,537
N/A
08/04/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (1,195,676) (1,195,676) RefertoApp. B
08/04/2021 Merrill Lynch International Securities borrowed N/A ADS 82,046 656,368
Refer to App. B
08/04/2021 Merrill Lynch (Australia) Futures Limited SELL (3,938)
Ordinary		 (3,078) (3,078)
N/A
08/04/2021 Merrill Lynch (Australia) Futures Limited BUY 72,992 Ordinary 57,457 57,457
N/A
08/04/2021 Merrill Lynch(Australia)FuturesLimited BUY 16,045 Ordinary 12,634 12,634
N/A
08/04/2021 Merrill Lynch (Australia) Futures Limited SELL (84,436)
Ordinary		 (67,013) (67,013)
N/A
08/05/2021 Merrill Lynch International Securities returned N/A ADS (82,046) (656,368)
Refer to App. B
08/05/2021 Merrill Lynch International Securities returned N/A ADS (353,094) (2,824,752)
Refer to App. B
08/05/2021 Merrill Lynch International Securities borrowed N/A ADS 435,140 3,481,120 RefertoApp. B
08/05/2021 BofA Securities, Inc. Securities borrowed N/A ADS 3,100 24,800
Refer to App. B
08/05/2021 Merrill Lynch (Australia) Futures Limited SELL (18,807)
Ordinary		 (14,986) (14,986)
N/A
08/05/2021 Merrill Lynch (Australia) Futures Limited BUY 17,579 Ordinary 14,016 14,016
N/A
08/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 16,438 Ordinary 13,123 13,123 N/A
08/05/2021 Merrill Lynch (Australia) Futures Limited SELL (5,540)
Ordinary		 (4,408) (4,408)
N/A
08/06/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 2,168,579 2,168,579
Refer to App. B
08/06/2021 BofA Securities, Inc. Securities returned N/A ADS (2,800) (22,400)
Refer to App. B
08/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (80,884) Ordinary (64,707) (64,707) N/A
08/06/2021 Merrill Lynch (Australia) Futures Limited SELL (4,204)
Ordinary		 (3,350) (3,350)
N/A
08/06/2021 Merrill Lynch (Australia) Futures Limited BUY 37,325 Ordinary 29,631 29,631
N/A
08/06/2021 Merrill Lynch (Australia) Futures Limited BUY 70,671 Ordinary 56,379 56,379
N/A
08/09/2021 BofASecurities,Inc. Securitiesreturned N/A ADS (300) (2,400) RefertoApp. B
08/09/2021 Merrill Lynch (Australia) Futures Limited BUY 66,714 Ordinary 53,864 53,864
N/A
08/09/2021 Merrill Lynch (Australia) Futures Limited SELL (19,131)
Ordinary		 (15,419) (15,419)
N/A
08/09/2021 Merrill Lynch(Australia)FuturesLimited SELL (66,791) Ordinary (53,864) (53,864) 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 EntityOf 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 PtyLimited as Trustee of Regal Australian LongShort EquityFund
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 PtyLimited 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 PtyLimited 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-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 PtyLtd
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
PARHELION LTD(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 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-9: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and JP MORGAN BANK AS AGENT
Holder of voting rights Securities borrower. Securities lender mayinstruct the registered holder to vote on securities.
Are there any
restrictions on voting
rights?		 No
Ifyes, 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
Ifyes, detail Securities borrower will have right to return assets at anytime.
Does the lender have
the right to recall
**early? **		 Yes
Ifyes, detail Securities lender will have right to recall assets at anytime.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-10: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and NATIONAL FINANCIAL SVCS
Holder of voting rights Securities borrower. Securities lender mayinstruct the registered holder to vote on securities.
Are there any
restrictions on voting
rights?		 No
Ifyes, 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
Ifyes, detail Securities borrower will have right to return assets at anytime.
Does the lender have
the right to recall
**early? **		 Yes
Ifyes, detail Securities lender will have right to recall assets at anytime.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-11: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and E* TRADE SECURITIES LLC
Holder of voting rights Securities borrower. Securities lender mayinstruct the registered holder to vote on securities.
Are there any
restrictions on voting
rights?		 No
Ifyes, 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
Ifyes, detail Securities borrower will have right to return assets at anytime.
Does the lender have
the right to recall
**early? **		 Yes
Ifyes, detail Securities lender will have right to recall assets at anytime.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-12: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and INTERACTIVE BROKERS
Holder of voting rights Securities borrower. Securities lender mayinstruct the registered holder to vote on securities.
Are there any
restrictions on voting
rights?		 No
Ifyes, 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
Ifyes, detail Securities borrower will have right to return assets at anytime.
Does the lender have
the right to recall
**early? **		 Yes
Ifyes, detail Securities lender will have right to recall assets at anytime.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-13: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and CHARLES SCHWAB & CO INC
Holder of voting rights Securities borrower. Securities lender mayinstruct the registered holder to vote on securities.
Are there any
restrictions on voting
rights?		 No
Ifyes, 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
Ifyes, detail Securities borrower will have right to return assets at anytime.
Does the lender have
the right to recall
**early? **		 Yes
Ifyes, detail Securities lender will have right to recall assets at anytime.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-14: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and GOLDMAN SACHS TRUST CO.
Holder of voting rights Securities borrower. Securities lender mayinstruct the registered holder to vote on securities.
Are there any
restrictions on voting
rights?		 No
Ifyes, 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
Ifyes, detail Securities borrower will have right to return assets at anytime.
Does the lender have
the right to recall
**early? **		 Yes
Ifyes, detail Securities lender will have right to recall assets at anytime.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix C

Related bodies corporate Incorporated ACN/Registration/Incorporation Number
Merrill Lynch International 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
Bankof 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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