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Opthea Ltd Major Shareholding Notification 2021

Aug 2, 2021

32698_rns_2021-08-02_358929cf-6169-4cdc-97e8-39e9497bedea.pdf

Major Shareholding Notification

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Form 605

Corporations Act Section 671B

Notice of ceasing to be a substantial holder

To: Company Name/Scheme OPTHEA LTD ACN/ ~~ARSN~~ 006 340 567

1. Details of substantial holder (1)

Name

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

ACN/ARSN (if applicable):

The holder ceased to be a substantial shareholder on 30 July 2021 The previous notice was given to the company on 23 June 2021 The previous notice was dated 21 June 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 of
change		 Person whose
relevant interest
changed		 Nature of Change
(4)		 Consideration
given in relation
to change (5)		 Class (6) and
Number of
securities affected		 Person’s
votes
affected
Please see Appendix A

3. Changes in association

The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

Name and ACN/ARSN (if applicable) Nature of association
N/A N/A

4. Addresses

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

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 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: 3 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
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)Futures Limited SELL (88,872) Ordinary (68,101) (68,101) N/A
06/22/2021 Merrill Lynch(Australia)Futures Limited BUY 13,870 Ordinary 10,628 10,628 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)Futures Limited 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
06/23/2021 Merrill Lynch(Australia)Futures Limited 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 SELL (122,349) Ordinary (94,478) (94,478) N/A
06/24/2021 Merrill Lynch(Australia)Futures Limited BUY 9,345 Ordinary 7,100 7,100 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 SELL (188) Ordinary (148) (148) N/A
06/25/2021 Merrill Lynch International BUY 188 Ordinary 148 148 N/A
06/25/2021 Merrill Lynch(Australia)Futures Limited 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 BofA Securities, Inc. Securities returned N/A ADS (100) (800) Refer to App. 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)Futures Limited 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
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
06/29/2021 Merrill Lynch(Australia)Futures Limited BUY 1,738 Ordinary 1,332 1,332 N/A
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 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)Futures Limited SELL (115,935) Ordinary (88,859) (88,859) N/A
06/30/2021 Merrill Lynch(Australia)Futures Limited 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
07/01/2021 Merrill Lynch(Australia)Futures Limited BUY 32,040 Ordinary 24,562 24,562 N/A
07/01/2021 Merrill Lynch(Australia)Futures Limited SELL (31,562) 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 BUY 19,147 Ordinary 14,802 14,802 N/A
07/02/2021 Merrill Lynch(Australia)Futures Limited 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 (27,007) Ordinary (20,936) (20,936) N/A
07/02/2021 Merrill Lynch(Australia)Futures Limited SELL (83,753) Ordinary (65,689) (65,689) N/A
07/05/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (31,872) (31,872) Refer to App. 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)Futures Limited 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)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)Futures Limited BUY 207,360 Ordinary 150,775 150,775 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
07/06/2021 Merrill Lynch(Australia)Futures Limited SELL (264,337) Ordinary (188,812) (188,812) 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)Futures Limited 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)Futures Limited SELL (140,709) Ordinary (108,238) (108,238) N/A
07/08/2021 Merrill Lynch(Australia)Futures Limited 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
07/09/2021 Merrill Lynch International Securities borrowed N/A ADS 35,706 285,648 Refer to App. 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
07/09/2021 Merrill Lynch(Australia)Futures Limited 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		 Securities returned N/A Ordinary (62) (62) Refer to App. 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 BofA Securities, Inc. Securities returned N/A ADS (100) (800) Refer to App. 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)Futures Limited 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
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
07/13/2021 Merrill Lynch International Securities returned N/A ADS (12) (96) Refer to App. B
07/13/2021 BofA Securities, Inc. Securities borrowed N/A ADS 700 5,600 Refer to App. 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)Futures Limited SELL (64,833) Ordinary (49,303) (49,303) N/A
07/13/2021 Merrill Lynch(Australia)Futures Limited SELL (2,574) Ordinary (1,964) (1,964) 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)Futures Limited 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)Futures Limited SELL (51,635) Ordinary (39,719) (39,719) N/A
07/15/2021 Merrill Lynch(Australia)Futures Limited 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
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)Futures Limited 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 BofA Securities, Inc. Securities returned N/A ADS (1,300) (10,400) Refer to App. 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)Futures Limited SELL (150,370) Ordinary (120,296) (120,296) N/A
07/19/2021 Merrill Lynch(Australia)Futures Limited BUY 36,695 Ordinary 29,397 29,397 N/A
07/20/2021 BofA Securities, Inc. Securities returned N/A ADS (1,500) (12,000) Refer to App. B
Date of change Person whose relevant interest changed
Nature of change (4)		 Consideration (5) Class (6) of
securities		 Securities
affected		 Person's votes
affected		 Remark
07/20/2021 Merrill Lynch(Australia)Futures Limited BUY 40,742 Ordinary 32,682 32,682 N/A
07/20/2021 Merrill Lynch(Australia)Futures Limited 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 BofA Securities, Inc. Securities borrowed N/A ADS 400 3,200 Refer to App. 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)Futures Limited 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 BofA Securities, Inc. Securities returned N/A ADS (100) (800) Refer to App. B
07/22/2021 Merrill Lynch(Australia)Futures Limited BUY 54,267 Ordinary 42,394 42,394 N/A
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 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 BofA Securities, Inc. Securities returned N/A ADS (200) (1,600) Refer to App. 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)Futures Limited 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		 Securities returned N/A Ordinary (21,516) (21,516) Refer to App. B
07/26/2021 BofA Securities, Inc. Securities returned N/A ADS (100) (800) 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
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)Futures Limited 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)Futures Limited 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		 Securities returned N/A Ordinary (10,253) (10,253) Refer to App. 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 BofA Securities, Inc. Securities returned N/A ADS (500) (4,000) Refer to App. B
07/28/2021 Merrill Lynch(Australia)Futures Limited BUY 43,679 Ordinary 34,101 34,101 N/A
07/28/2021 Merrill Lynch(Australia)Futures Limited BUY 17,464 Ordinary 13,697 13,697 N/A
07/28/2021 Merrill Lynch(Australia)Futures Limited SELL (57,780) Ordinary (45,318) (45,318) 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		 Securities returned N/A Ordinary (496,781) (496,781) Refer to App. 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)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
07/29/2021 Merrill Lynch(Australia)Futures Limited SELL (14,348) Ordinary (11,342) (11,342) 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
07/29/2021 Merrill Lynch(Australia)Futures Limited SELL (528) Ordinary (409) (409) N/A
07/30/2021 Merrill Lynch Markets (Australia) Pty.
Limited		 Securities returned N/A Ordinary (5,880) (5,880) Refer to App. 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 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
07/30/2021 Merrill Lynch(Australia)Futures Limited BUY 10,164 Ordinary 8,131 8,131 N/A
07/30/2021 Merrill Lynch(Australia)Futures Limited BUY 13,362 Ordinary 10,612 10,612 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 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-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 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-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 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-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 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-10: Prescribed information

Appendix B-10: 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-11: Prescribed information

Appendix B-11: 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-12: Prescribed information

Appendix B-12: 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-13: Prescribed information

Appendix B-13: 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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