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Opthea Ltd Major Shareholding Notification 2021

Feb 15, 2021

32698_rns_2021-02-15_4e954451-5175-4368-92c5-e64d0f3339d4.pdf

Major Shareholding Notification

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Form 604

Corporations Act Section 671B

Notice of change of interests of substantial holder

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

1. Details of substantial holder

Name

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

ACN/ARSN (if applicable):

There was a change in the interests of the substantial holder on 12 February 2021 The previous notice was given to the company on 21 January 2021

The previous notice was given to the company on

2. Previous and present voting power

The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:

Class of
securities (4)		 Previous Notice Previous Notice Present Notice Present Notice
Person’s Votes Voting Power (5) Person’s Votes Voting Power (5)
Ordinary 9,948,284 2.95% 10,980,409 3.25%
American
Depository Shares
(ADS)		 8,485,792 2.51% 12,489,064 3.70%
TOTAL 18,434,076 5.46% 23,469,473 6.95%

3. Changes in relevant interests

Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:

Date of
change		 Person whose relevant
interest changed		 Nature of
Change (6)		 Consideration given
in relation to
change (7)		 Class and Number
of securities
affected		 Person’s
votes
affected
Please see Appendix A

4. Present relevant interests

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:

Holder of
relevant
interest		 Registered
holder of
securities		 Person entitled
to be registered
holder (8)		 Nature of relevant interest
(6)		 Class and
number of
securities		 Person’s
votes
Merrill Lynch
(Australia)
Futures Limited		 Merrill Lynch
(Australia)
Nominees Pty.
Ltd		 Merrill Lynch
(Australia)
Futures Limited		 Power to control voting
and/or disposal of securities
in its capacity as ultimate
beneficial owner having a
principal position.		 Ordinary
4,082,293		 4,082,293
Merrill Lynch
International		 Merrill Lynch
(Australia)
Nominees Pty.
Ltd		 Merrill Lynch
International		 Power to control voting
and/or disposal of securities
in its capacity as ultimate
beneficial owner having a
principal position.		 Ordinary
5,945		 5,945
Merrill Lynch
Markets
(Australia) Pty.
Limited		 Merrill Lynch
(Australia)
Nominees Pty.
Ltd		 Merrill Lynch
Markets
(Australia) Pty.
Limited		 Borrowing of securities
pursuant to a Prime
Brokerage Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 Ordinary
6,892,171		 6,892,171
Merrill Lynch
International		 Merrill Lynch
International		 Borrowing of securities
pursuant to a Prime
Brokerage Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 1,561,133 ADS
representing
12,489,064
Ordinary Shares		 12,489,064

5. Changes in association

The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

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

6. Addresses

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

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

SIGNATURE

Print Name:
Sign Here:		 Kelvin Kwok
Capacity:
Authorised signatory
Date:
16 February 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
01/20/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (1,135,541) (1,135,541) Refer to App. B
01/20/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities borrowed N/A Ordinary 2,282,051 2,282,051 Refer to App. B
01/20/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (10,020) (10,020) Refer to App. B
01/20/2021 Merrill Lynch International Securities returned N/A Ordinary (15,288) (15,288) Refer to App. B
01/20/2021 Merrill Lynch(Australia)Futures Limited BUY 16 Ordinary 8 8 N/A
01/20/2021 Merrill Lynch(Australia)Futures Limited BUY 22,337 Ordinary 10,999 10,999 N/A
01/20/2021 Merrill Lynch(Australia)Futures Limited BUY 31,214 Ordinary 15,261 15,261 N/A
01/20/2021 Merrill Lynch(Australia)Futures Limited SELL (5,168) Ordinary (2,532) (2,532) N/A
01/20/2021 Merrill Lynch(Australia)Futures Limited SELL (6,225) Ordinary (3,045) (3,045) N/A
01/20/2021 Merrill Lynch(Australia)Futures Limited SELL (22,658) Ordinary (10,999) (10,999) N/A
01/21/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (10,969) (10,969) Refer to App. B
01/21/2021 Merrill Lynch International Securities returned N/A Ordinary (57,857) (57,857) Refer to App. B
01/21/2021 Merrill Lynch(Australia)Futures Limited SELL (26,166) Ordinary (12,753) (12,753) N/A
01/21/2021 Merrill Lynch(Australia)Futures Limited BUY 10,495 Ordinary 5,029 5,029 N/A
01/21/2021 Merrill Lynch(Australia)Futures Limited BUY 11,090 Ordinary 5,559 5,559 N/A
01/21/2021 Merrill Lynch(Australia)Futures Limited BUY 29,575 Ordinary 14,585 14,585 N/A
01/21/2021 Merrill Lynch(Australia)Futures Limited SELL (6) Ordinary (3) (3) N/A
01/21/2021 Merrill Lynch(Australia)Futures Limited BUY 19,402 Ordinary 9,429 9,429 N/A
01/21/2021 Merrill Lynch(Australia)Futures Limited SELL (29,097) Ordinary (14,585) (14,585) N/A
01/22/2021 Merrill Lynch International Securities returned N/A ADS (1,218) (9,744) Refer to App. B
01/22/2021 Merrill Lynch(Australia)Futures Limited SELL (4,473) Ordinary (2,231) (2,231) N/A
01/22/2021 Merrill Lynch(Australia)Futures Limited SELL (7,483) Ordinary (3,723) (3,723) N/A
01/22/2021 Merrill Lynch(Australia)Futures Limited BUY 10,457 Ordinary 5,224 5,224 N/A
01/22/2021 Merrill Lynch(Australia)Futures Limited BUY 11,819 Ordinary 5,939 5,939 N/A
01/22/2021 Merrill Lynch(Australia)Futures Limited SELL (2,406) Ordinary (1,203) (1,203) N/A
01/22/2021 Merrill Lynch(Australia)Futures Limited SELL (10,396) Ordinary (5,224) (5,224) N/A
01/25/2021 Merrill Lynch International Securities returned N/A ADS (71) (568) Refer to App. B
01/25/2021 Merrill Lynch(Australia)Futures Limited BUY 23,164 Ordinary 11,789 11,789 N/A
01/25/2021 Merrill Lynch(Australia)Futures Limited SELL (16,685) Ordinary (8,396) (8,396) N/A
01/25/2021 Merrill Lynch(Australia)Futures Limited SELL (16,430) Ordinary (8,301) (8,301) N/A
01/25/2021 Merrill Lynch(Australia)Futures Limited BUY 6,690 Ordinary 3,422 3,422 N/A
01/25/2021 Merrill Lynch(Australia)Futures Limited BUY 3,482 Ordinary 1,795 1,795 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
01/25/2021 Merrill Lynch(Australia)Futures Limited SELL (4,257) Ordinary (2,150) (2,150) N/A
01/25/2021 Merrill Lynch(Australia)Futures Limited SELL (23,578) Ordinary (11,789) (11,789) N/A
01/26/2021 Merrill Lynch International Securities returned N/A ADS (656) (5,248) Refer to App. B
01/27/2021 Merrill Lynch International Securities returned N/A ADS (465) (3,720) Refer to App. B
01/27/2021 Merrill Lynch International BUY 2 Ordinary 1 1 N/A
01/27/2021 Merrill Lynch International SELL (2) Ordinary (1) (1) N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited BUY 21,956 Ordinary 10,894 10,894 N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited BUY 20,530 Ordinary 10,526 10,526 N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited BUY 618 Ordinary 317 317 N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited SELL (16,041) Ordinary (8,114) (8,114) N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited SELL (2,894) Ordinary (1,447) (1,447) N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited BUY 8,927 Ordinary 4,504 4,504 N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited SELL (1,900) Ordinary (950) (950) N/A
01/27/2021 Merrill Lynch(Australia)Futures Limited SELL (8,783) Ordinary (4,504) (4,504) N/A
01/28/2021 Merrill Lynch(Australia)Futures Limited SELL (24,715) Ordinary (12,671) (12,671) N/A
01/28/2021 Merrill Lynch(Australia)Futures Limited SELL (6,969) Ordinary (3,565) (3,565) N/A
01/28/2021 Merrill Lynch(Australia)Futures Limited BUY 7,160 Ordinary 3,685 3,685 N/A
01/28/2021 Merrill Lynch(Australia)Futures Limited SELL (42,524) Ordinary (22,058) (22,058) N/A
01/28/2021 Merrill Lynch(Australia)Futures Limited BUY 2,939 Ordinary 1,515 1,515 N/A
01/28/2021 Merrill Lynch(Australia)Futures Limited SELL (6,633) Ordinary (3,393) (3,393) N/A
01/28/2021 Merrill Lynch(Australia)Futures Limited BUY 6,578 Ordinary 3,393 3,393 N/A
01/29/2021 Merrill Lynch International Securities returned N/A Ordinary (1,597) (1,597) Refer to App. B
01/29/2021 Merrill Lynch(Australia)Futures Limited SELL (11,208) Ordinary (5,803) (5,803) N/A
01/29/2021 Merrill Lynch(Australia)Futures Limited BUY 23,800 Ordinary 12,396 12,396 N/A
01/29/2021 Merrill Lynch(Australia)Futures Limited SELL (1,515) Ordinary (779) (779) N/A
01/29/2021 Merrill Lynch(Australia)Futures Limited SELL (9,490) Ordinary (4,935) (4,935) N/A
01/29/2021 Merrill Lynch(Australia)Futures Limited BUY 6,996 Ordinary 3,635 3,635 N/A
01/29/2021 Merrill Lynch(Australia)Futures Limited BUY 3,036 Ordinary 1,577 1,577 N/A
01/29/2021 Merrill Lynch(Australia)Futures Limited SELL (6,979) Ordinary (3,635) (3,635) N/A
02/01/2021 Merrill Lynch International BUY 2 Ordinary 1 1 N/A
02/01/2021 Merrill Lynch International SELL (2) Ordinary (1) (1) N/A
02/01/2021 Merrill Lynch(Australia)Futures Limited SELL (5,702) Ordinary (2,970) (2,970) N/A
02/01/2021 Merrill Lynch(Australia)Futures Limited SELL (21,634) Ordinary (11,354) (11,354) N/A
02/01/2021 Merrill Lynch(Australia)Futures Limited SELL (1,254) Ordinary (660) (660) 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
02/01/2021 Merrill Lynch(Australia)Futures Limited BUY 5,632 Ordinary 2,970 2,970 N/A
02/02/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities borrowed N/A Ordinary 77,051 77,051 Refer to App. B
02/02/2021 Merrill Lynch(Australia)Futures Limited BUY 13,004 Ordinary 6,786 6,786 N/A
02/02/2021 Merrill Lynch(Australia)Futures Limited SELL (3,496) Ordinary (1,821) (1,821) N/A
02/02/2021 Merrill Lynch(Australia)Futures Limited SELL (2,620) Ordinary (1,365) (1,365) N/A
02/02/2021 Merrill Lynch(Australia)Futures Limited BUY 11,320 Ordinary 5,941 5,941 N/A
02/02/2021 Merrill Lynch(Australia)Futures Limited BUY 1,895 Ordinary 990 990 N/A
02/02/2021 Merrill Lynch(Australia)Futures Limited SELL (11,407) Ordinary (5,941) (5,941) N/A
02/02/2021 Merrill Lynch(Australia)Futures Limited BUY 3,875 Ordinary 2,034 2,034 N/A
02/03/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (5,078) (5,078) Refer to App. B
02/03/2021 Merrill Lynch(Australia)Futures Limited BUY 32,679 Ordinary 16,999 16,999 N/A
02/03/2021 Merrill Lynch(Australia)Futures Limited SELL (16,721) Ordinary (8,732) (8,732) N/A
02/03/2021 Merrill Lynch(Australia)Futures Limited BUY 21,736 Ordinary 11,359 11,359 N/A
02/03/2021 Merrill Lynch(Australia)Futures Limited BUY 8,249 Ordinary 4,319 4,319 N/A
02/03/2021 Merrill Lynch(Australia)Futures Limited BUY 15,757 Ordinary 8,226 8,226 N/A
02/03/2021 Merrill Lynch(Australia)Futures Limited SELL (6,007) Ordinary (3,127) (3,127) N/A
02/03/2021 Merrill Lynch(Australia)Futures Limited SELL (15,712) Ordinary (8,226) (8,226) N/A
02/04/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (71,973) (71,973) Refer to App. B
02/04/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (33,290) (33,290) Refer to App. B
02/04/2021 Merrill Lynch(Australia)Futures Limited SELL (1,997) Ordinary (1,091) (1,091) N/A
02/04/2021 Merrill Lynch(Australia)Futures Limited SELL (30,497) Ordinary (16,739) (16,739) N/A
02/04/2021 Merrill Lynch(Australia)Futures Limited BUY 4,218 Ordinary 2,305 2,305 N/A
02/04/2021 Merrill Lynch(Australia)Futures Limited BUY 25,288 Ordinary 13,826 13,826 N/A
02/04/2021 Merrill Lynch(Australia)Futures Limited SELL (7,794) Ordinary (4,294) (4,294) N/A
02/04/2021 Merrill Lynch(Australia)Futures Limited BUY 49,129 Ordinary 26,977 26,977 N/A
02/04/2021 Merrill Lynch(Australia)Futures Limited BUY 23,954 Ordinary 13,271 13,271 N/A
02/04/2021 Merrill Lynch(Australia)Futures Limited SELL (75,000) Ordinary (39,267) (39,267) N/A
02/05/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (1,006,965) (1,006,965) Refer to App. B
02/05/2021 Merrill Lynch(Australia)Futures Limited SELL (17,036) Ordinary (9,336) (9,336) N/A
02/05/2021 Merrill Lynch(Australia)Futures Limited BUY 51,759 Ordinary 28,340 28,340 N/A
02/05/2021 Merrill Lynch(Australia)Futures Limited BUY 375 Ordinary 203 203 N/A
02/05/2021 Merrill Lynch(Australia)Futures Limited BUY 39,847 Ordinary 22,077 22,077 N/A
02/05/2021 Merrill Lynch(Australia)Futures Limited BUY 1,845,000 Ordinary 1,000,000 1,000,000 N/A
02/05/2021 Merrill Lynch(Australia)Futures Limited SELL (41,953) Ordinary (22,739) (22,739) 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
02/05/2021 Merrill Lynch(Australia)Futures Limited BUY 32,274 Ordinary 17,609 17,609 N/A
02/08/2021 Merrill Lynch International Securities borrowed N/A ADS 12,812 102,496 Refer to App. B
02/08/2021 Merrill Lynch(Australia)Futures Limited SELL (4,634) Ordinary (2,513) (2,513) N/A
02/08/2021 Merrill Lynch(Australia)Futures Limited SELL (6,668) Ordinary (3,614) (3,614) N/A
02/08/2021 Merrill Lynch(Australia)Futures Limited SELL (32,489) Ordinary (17,609) (17,609) N/A
02/08/2021 Merrill Lynch(Australia)Futures Limited BUY 12,242 Ordinary 6,631 6,631 N/A
02/08/2021 Merrill Lynch(Australia)Futures Limited BUY (19,266,051) Ordinary (17,609) (17,609) N/A
02/08/2021 Merrill Lynch(Australia)Futures Limited BUY 6,493 Ordinary 3,535 3,535 N/A
02/08/2021 Merrill Lynch(Australia)Futures Limited BUY 19,266,051 Ordinary 17,609 17,609 N/A
02/09/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (6,530) (6,530) Refer to App. B
02/09/2021 Merrill Lynch International Securities returned N/A ADS (574,375) (4,595,000) Refer to App. B
02/09/2021 Merrill Lynch International Securities returned N/A ADS (12,812) (102,496) Refer to App. B
02/09/2021 Merrill Lynch International Securities borrowed N/A ADS 587,187 4,697,496 Refer to App. B
02/09/2021 Merrill Lynch(Australia)Futures Limited SELL (5,546) Ordinary (2,975) (2,975) N/A
02/09/2021 Merrill Lynch(Australia)Futures Limited BUY 33,560 Ordinary 18,021 18,021 N/A
02/09/2021 Merrill Lynch(Australia)Futures Limited SELL (63,781) Ordinary (34,199) (34,199) N/A
02/09/2021 Merrill Lynch(Australia)Futures Limited SELL (313) Ordinary (168) (168) N/A
02/09/2021 Merrill Lynch(Australia)Futures Limited BUY 3,170 Ordinary 1,718 1,718 N/A
02/09/2021 Merrill Lynch(Australia)Futures Limited BUY 53,063 Ordinary 28,326 28,326 N/A
02/09/2021 Merrill Lynch(Australia)Futures Limited BUY 32,319 Ordinary 17,341 17,341 N/A
02/10/2021 Merrill Lynch International Securities borrowed N/A ADS 49,080 392,640 Refer to App. B
02/10/2021 Merrill Lynch(Australia)Futures Limited BUY 23,934 Ordinary 13,170 13,170 N/A
02/10/2021 Merrill Lynch(Australia)Futures Limited BUY 47,074 Ordinary 25,990 25,990 N/A
02/10/2021 Merrill Lynch(Australia)Futures Limited SELL (9,505) Ordinary (5,180) (5,180) N/A
02/10/2021 Merrill Lynch(Australia)Futures Limited BUY 2,060 Ordinary 1,138 1,138 N/A
02/10/2021 Merrill Lynch(Australia)Futures Limited BUY 31,711 Ordinary 17,444 17,444 N/A
02/10/2021 Merrill Lynch(Australia)Futures Limited SELL (4,108) Ordinary (2,248) (2,248) N/A
02/10/2021 Merrill Lynch(Australia)Futures Limited SELL (1,494) Ordinary (812) (812) N/A
02/10/2021 Merrill Lynch(Australia)Futures Limited SELL (33,965) Ordinary (18,765) (18,765) N/A
02/11/2021 Merrill Lynch Markets(Australia)Pty. Limited Securities returned N/A Ordinary (275) (275) Refer to App. B
02/11/2021 Merrill Lynch International Securities returned N/A ADS (49,080) (392,640) Refer to App. B
02/11/2021 Merrill Lynch International Securities returned N/A ADS (587,187) (4,697,496) Refer to App. B
02/11/2021 Merrill Lynch International Securities borrowed N/A ADS 636,267 5,090,136 Refer to App. B
02/11/2021 Merrill Lynch International Securities borrowed N/A ADS 98,472 787,776 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
02/11/2021 Merrill Lynch(Australia)Futures Limited SELL (31,063) Ordinary (17,257) (17,257) N/A
02/11/2021 Merrill Lynch(Australia)Futures Limited SELL (24,670) Ordinary (13,449) (13,449) N/A
02/11/2021 Merrill Lynch(Australia)Futures Limited BUY 5,473 Ordinary 3,004 3,004 N/A
02/11/2021 Merrill Lynch(Australia)Futures Limited BUY 39,088 Ordinary 21,300 21,300 N/A
02/11/2021 Merrill Lynch(Australia)Futures Limited BUY 10,423 Ordinary 5,699 5,699 N/A
02/11/2021 Merrill Lynch(Australia)Futures Limited BUY 8,922 Ordinary 4,876 4,876 N/A
02/11/2021 Merrill Lynch(Australia)Futures Limited SELL (12,603) Ordinary (6,906) (6,906) N/A
02/12/2021 Merrill Lynch International Securities returned N/A ADS (636,267) (5,090,136) Refer to App. B
02/12/2021 Merrill Lynch International Securities returned N/A ADS (98,472) (787,776) Refer to App. B
02/12/2021 Merrill Lynch International Securities borrowed N/A ADS 734,739 5,877,912 Refer to App. B
02/12/2021 Merrill Lynch International Securities borrowed N/A ADS 342,455 2,739,640 Refer to App. B
02/12/2021 Merrill Lynch(Australia)Futures Limited SELL (3,157) Ordinary (1,744) (1,744) N/A
02/12/2021 Merrill Lynch(Australia)Futures Limited SELL (60,375) Ordinary (33,469) (33,469) N/A
02/12/2021 Merrill Lynch(Australia)Futures Limited BUY 16,011 Ordinary 8,865 8,865 N/A
02/12/2021 Merrill Lynch(Australia)Futures Limited SELL (17,660) Ordinary (9,730) (9,730) N/A
02/12/2021 Merrill Lynch(Australia)Futures Limited SELL (13,236) Ordinary (7,277) (7,277) 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 Atlantic Absolute Return Fund
Holder of voting
rights		 Securities borrower. Securities lender may instruct the registered holder to vote on
securities.
Are there any
restrictions on voting
rights?		 No
If yes, detail N/A
Scheduled return
date (if any)		 On recall of the securities loan by the securities lender.
Does the borrower
have the right to
return early?		 Yes
If yes, detail Securities borrower will have right to return assets at any time.
Does the lender have
the right to recall
early?		 Yes
If yes, detail Securities lender will have right to recall assets at any time.
Will the securities be
returned on
settlement?		 Yes
If yes, detail any
exceptions		 N/A

Appendix B-3: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International, Merrill Lynch Markets (Australia) Pty Limited and Regal
Funds Management 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-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 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-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 Virtu
Financial Asia 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-7: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International and BOERBOEL TRADING L.P. (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 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-9: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International and Regal Absolute Return Master 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-10: 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-11: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International 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 C

Related bodies corporate Incorporated **ACN/Registration/Incorporation Number **
Merrill Lynch International United Kingdom 2312079
ML UK Capital Holdings Limited United Kingdom 4971231
BofAML EMEA Holdings 2 Limited United States 119605
Merrill Lynch(Australia)FuturesLimited Australia 003639674
Merrill Lynch International (Australia) Ltd Australia 002892846
Merrill Lynch Markets (Australia) Pty. Limited Australia 075587816
Merrill Lynch (Australasia) Pty. Ltd Australia 075923894
Bank of America Global Holdings, LLC United States 5169939
BofAMLJerseyHoldingsLimited Jersey 115831
NB Holdings Corporation United States 2361372
Bankof America Corporation United States N/A628

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