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Opthea Ltd Major Shareholding Notification 2021

Jan 14, 2021

32698_rns_2021-01-14_8abe0c78-e24e-4dfb-8736-f1285b48adba.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

The previous notice was given to the company on

The previous notice was dated

13 January 2021 17 December 2020 15 December 2020

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

SIGNATURE

Print Name: Kelvin Kwok Capacity: Authorised signatory Sign Here: Date: 15 January 2021

Appendix A

Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideratio
n (5)		 Class (6) of
securities		 Securities affected Person's votes
affected		 Remark
12/16/2020 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 114,466 114,466 RefertoApp. B
12/16/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (52,361) (52,361) RefertoApp. B
12/16/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (507,082) (507,082) RefertoApp. B
12/16/2020 Merrill Lynch International Securities borrowed N/A Ordinary 631,445 631,445 Refer to App. B
12/16/2020 Merrill Lynch International Securitiesreturned N/A Ordinary (49,824) (49,824) RefertoApp. B
12/16/2020 Merrill Lynch International Securitiesreturned N/A ADS (387,926) (3,103,408) RefertoApp. B
12/16/2020 Merrill Lynch International Securitiesreturned N/A ADS (127,316) (1,018,528) RefertoApp. B
12/16/2020 Merrill Lynch International Securities borrowed N/A ADS 515,242 4,121,936 RefertoApp. B
12/16/2020 Merrill Lynch International Securities borrowed N/A ADS 11,637 93,096 RefertoApp. B
12/16/2020 Merrill Lynch(Australia)FuturesLimited SELL (36,950) Ordinary (18,232) (18,232) N/A
12/16/2020 Merrill Lynch (Australia) Futures Limited BUY 25,557 Ordinary 12,469 12,469 N/A
12/16/2020 Merrill Lynch(Australia)FuturesLimited BUY 12,482 Ordinary 6,072 6,072 N/A
12/16/2020 Merrill Lynch(Australia)FuturesLimited BUY 875 Ordinary 423 423 N/A
12/16/2020 Merrill Lynch(Australia)FuturesLimited SELL (25,312) Ordinary (12,469) (12,469) N/A
12/17/2020 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 164,333 164,333 RefertoApp. B
12/17/2020 Merrill Lynch International Securities borrowed N/A Ordinary 203,470 203,470 Refer to App. B
12/17/2020 Merrill Lynch International Securitiesreturned N/A ADS (515,242) (4,121,936) RefertoApp. B
12/17/2020 Merrill Lynch International Securitiesreturned N/A ADS (11,637) (93,096) RefertoApp. B
12/17/2020 Merrill Lynch International Securities borrowed N/A ADS 526,879 4,215,032 RefertoApp. B
12/17/2020 Merrill Lynch International BUY 2 Ordinary 1 1 N/A
12/17/2020 Merrill Lynch International SELL (2) Ordinary (1) (1) N/A
12/17/2020 Merrill Lynch(Australia)FuturesLimited BUY 1,575 Ordinary 772 772 N/A
12/17/2020 Merrill Lynch(Australia)FuturesLimited SELL (21,809) Ordinary (10,680) (10,680) N/A
12/17/2020 Merrill Lynch(Australia)FuturesLimited BUY 15,671 Ordinary 7,687 7,687 N/A
12/17/2020 Merrill Lynch (Australia) Futures Limited BUY 29,112 Ordinary 14,323 14,323 N/A
12/17/2020 Merrill Lynch(Australia)FuturesLimited BUY 2,089 Ordinary 1,023 1,023 N/A
12/17/2020 Merrill Lynch(Australia)FuturesLimited SELL (15,681) Ordinary (7,687) (7,687) N/A
12/18/2020 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 249,245 249,245 RefertoApp. B
12/18/2020 Merrill Lynch International Securitiesreturned N/A Ordinary (492,242) (492,242) RefertoApp. B
12/18/2020 Merrill Lynch International Securitiesreturned N/A Ordinary (631,445) (631,445) RefertoApp. B
12/18/2020 Merrill Lynch International Securities borrowed N/A Ordinary 1,123,687 1,123,687 RefertoApp. B
12/18/2020 Merrill Lynch International Securities returned N/A Ordinary (203,470) (203,470) Refer to App. B
12/18/2020 Merrill Lynch International Securitiesreturned N/A Ordinary (1,123,687) (1,123,687) RefertoApp. B
12/18/2020 Merrill Lynch International Securitiesreturned N/A ADS (2,065) (16,520) RefertoApp. B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideratio
n (5)		 Class (6) of
securities		 Securities affected Person's votes
affected		 Remark
12/18/2020 Merrill Lynch(Australia)FuturesLimited BUY 21,831 Ordinary 10,861 10,861 N/A
12/18/2020 Merrill Lynch(Australia)FuturesLimited SELL (13,494) Ordinary (6,674) (6,674) N/A
12/18/2020 Merrill Lynch(Australia)FuturesLimited BUY 63,253 Ordinary 31,388 31,388 N/A
12/18/2020 Merrill Lynch (Australia) Futures Limited BUY 110,122 Ordinary 55,037 55,037 N/A
12/18/2020 Merrill Lynch(Australia)FuturesLimited SELL (15,609) Ordinary (7,689) (7,689) N/A
12/18/2020 Merrill Lynch(Australia)FuturesLimited SELL (62,776) Ordinary (31,388) (31,388) N/A
12/21/2020 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 80,065 80,065 RefertoApp. B
12/21/2020 Merrill Lynch International Securities borrowed N/A ADS 51,315 410,520 RefertoApp. B
12/21/2020 Merrill Lynch International BUY 3,150 Ordinary 1,587 1,587 N/A
12/21/2020 Merrill Lynch International SELL (3,150) Ordinary (1,587) (1,587) N/A
12/21/2020 Merrill Lynch(Australia)FuturesLimited BUY 33,442 Ordinary 17,086 17,086 N/A
12/21/2020 Merrill Lynch(Australia)FuturesLimited SELL (40,800) Ordinary (20,833) (20,833) N/A
12/21/2020 Merrill Lynch(Australia)FuturesLimited SELL (7,699) Ordinary (3,944) (3,944) N/A
12/21/2020 Merrill Lynch(Australia)FuturesLimited SELL (32,976) Ordinary (17,086) (17,086) N/A
12/22/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (6,965) (6,965) RefertoApp. B
12/22/2020 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (12,704) (12,704) Refer to App. B
12/22/2020 Merrill Lynch International Securitiesreturned N/A ADS (524,814) (4,198,512) RefertoApp. B
12/22/2020 Merrill Lynch International Securitiesreturned N/A ADS (51,315) (410,520) RefertoApp. B
12/22/2020 Merrill Lynch International Securities borrowed N/A ADS 576,129 4,609,032 RefertoApp. B
12/22/2020 Merrill Lynch(Australia)FuturesLimited BUY 7,718 Ordinary 4,041 4,041 N/A
12/22/2020 Merrill Lynch (Australia) Futures Limited BUY 17,033 Ordinary 8,918 8,918 N/A
12/22/2020 Merrill Lynch(Australia)FuturesLimited SELL (7,678) Ordinary (4,041) (4,041) N/A
12/22/2020 Merrill Lynch(Australia)FuturesLimited SELL (63,201) Ordinary (33,293) (33,293) N/A
12/22/2020 Merrill Lynch(Australia)FuturesLimited BUY 22,499 Ordinary 11,907 11,907 N/A
12/22/2020 Merrill Lynch(Australia)FuturesLimited SELL (22,623) Ordinary (11,907) (11,907) N/A
12/23/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (9,144) (9,144) RefertoApp. B
12/23/2020 Merrill Lynch(Australia)FuturesLimited BUY 19,604 Ordinary 10,313 10,313 N/A
12/23/2020 Merrill Lynch (Australia) Futures Limited SELL (19,595) Ordinary (10,313) (10,313) N/A
12/23/2020 Merrill Lynch(Australia)FuturesLimited BUY 19,110 Ordinary 10,058 10,058 N/A
12/23/2020 Merrill Lynch(Australia)FuturesLimited SELL (21,905) Ordinary (11,525) (11,525) N/A
12/24/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (1,322) (1,322) RefertoApp. B
12/24/2020 Merrill Lynch(Australia)FuturesLimited BUY 2,563 Ordinary 1,351 1,351 N/A
12/24/2020 Merrill Lynch (Australia) Futures Limited SELL (8,839) Ordinary (4,616) (4,616) N/A
12/24/2020 Merrill Lynch(Australia)FuturesLimited BUY 1,580 Ordinary 836 836 N/A
12/24/2020 Merrill Lynch(Australia)FuturesLimited SELL (2,621) Ordinary (1,351) (1,351) N/A
12/29/2020 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 1,277,483 1,277,483 RefertoApp. B
12/29/2020 Merrill Lynch International Securities borrowed N/A Ordinary 86,981 86,981 RefertoApp. B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideratio
n (5)		 Class (6) of
securities		 Securities affected Person's votes
affected		 Remark
12/29/2020 Merrill Lynch(Australia)FuturesLimited BUY 8,927 Ordinary 4,537 4,537 N/A
12/29/2020 Merrill Lynch(Australia)FuturesLimited SELL (302) Ordinary (155) (155) N/A
12/29/2020 Merrill Lynch(Australia)FuturesLimited SELL (1,349) Ordinary (699) (699) N/A
12/29/2020 Merrill Lynch (Australia) Futures Limited BUY 5,709 Ordinary 2,877 2,877 N/A
12/29/2020 Merrill Lynch(Australia)FuturesLimited SELL (9,006) Ordinary (4,537) (4,537) N/A
12/30/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (56,895) (56,895) RefertoApp. B
12/30/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (114,466) (114,466) RefertoApp. B
12/30/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (164,333) (164,333) RefertoApp. B
12/30/2020 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (249,245) (249,245) Refer to App. B
12/30/2020 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (689,067) (689,067) RefertoApp. B
12/30/2020 Merrill Lynch International Securitiesreturned N/A Ordinary (74,897) (74,897) RefertoApp. B
12/30/2020 Merrill Lynch International BUY 4 Ordinary 2 2 N/A
12/30/2020 Merrill Lynch International SELL (4) Ordinary (2) (2) N/A
12/30/2020 Merrill Lynch International BUY 3,298 Ordinary 1,722 1,722 N/A
12/30/2020 Merrill Lynch(Australia)FuturesLimited SELL (260) Ordinary (137) (137) N/A
12/30/2020 Merrill Lynch (Australia) Futures Limited SELL (22,725) Ordinary (11,811) (11,811) N/A
12/30/2020 Merrill Lynch(Australia)FuturesLimited BUY 19,559 Ordinary 10,082 10,082 N/A
12/30/2020 Merrill Lynch(Australia)FuturesLimited SELL (28,819) Ordinary (15,049) (15,049) N/A
12/30/2020 Merrill Lynch(Australia)FuturesLimited BUY 29,091 Ordinary 15,049 15,049 N/A
12/30/2020 Merrill Lynch(Australia)FuturesLimited BUY 7,135 Ordinary 3,726 3,726 N/A
12/31/2020 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A Ordinary 120,249 120,249 Refer to App. B
12/31/2020 Merrill Lynch International Securitiesreturned N/A Ordinary (12,084) (12,084) RefertoApp. B
12/31/2020 Merrill Lynch International BUY 13 Ordinary 7 7 N/A
12/31/2020 Merrill Lynch International SELL (13) Ordinary (7) (7) N/A
12/31/2020 Merrill Lynch(Australia)FuturesLimited SELL (762) Ordinary (397) (397) N/A
12/31/2020 Merrill Lynch(Australia)FuturesLimited BUY 30,413 Ordinary 16,007 16,007 N/A
12/31/2020 Merrill Lynch(Australia)FuturesLimited BUY 21,677 Ordinary 11,412 11,412 N/A
12/31/2020 Merrill Lynch (Australia) Futures Limited BUY 524 Ordinary 276 276 N/A
12/31/2020 Merrill Lynch(Australia)FuturesLimited SELL (33,741) Ordinary (17,713) (17,713) N/A
12/31/2020 Merrill Lynch(Australia)FuturesLimited SELL (21,911) Ordinary (11,412) (11,412) N/A
01/04/2021 Merrill Lynch(Australia)FuturesLimited SELL (7,832) Ordinary (4,079) (4,079) N/A
01/04/2021 Merrill Lynch(Australia)FuturesLimited BUY 7,827 Ordinary 4,079 4,079 N/A
01/04/2021 Merrill Lynch (Australia) Futures Limited BUY 1,019 Ordinary 528 528 N/A
01/04/2021 Merrill Lynch(Australia)FuturesLimited SELL (642) Ordinary (331) (331) N/A
01/04/2021 Merrill Lynch(Australia)FuturesLimited BUY 4,428 Ordinary 2,295 2,295 N/A
01/04/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,667) Ordinary (861) (861) N/A
01/05/2021 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 134,113 134,113 RefertoApp. B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideratio
n (5)		 Class (6) of
securities		 Securities affected Person's votes
affected		 Remark
01/05/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (18,447) (18,447) RefertoApp. B
01/05/2021 Merrill Lynch(Australia)FuturesLimited SELL (2,809) Ordinary (1,448) (1,448) N/A
01/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 658 Ordinary 333 333 N/A
01/05/2021 Merrill Lynch (Australia) Futures Limited SELL (154) Ordinary (78) (78) N/A
01/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 11,773 Ordinary 6,040 6,040 N/A
01/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 1,414 Ordinary 720 720 N/A
01/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 687 Ordinary 348 348 N/A
01/05/2021 Merrill Lynch(Australia)FuturesLimited SELL (12,615) Ordinary (6,388) (6,388) N/A
01/05/2021 Merrill Lynch (Australia) Futures Limited BUY (687) Ordinary (348) (348) N/A
01/06/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (8,064) (8,064) RefertoApp. B
01/06/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (93,738) (93,738) RefertoApp. B
01/06/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (134,113) (134,113) RefertoApp. B
01/06/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (588,416) (588,416) RefertoApp. B
01/06/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (429,689) (429,689) RefertoApp. B
01/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (12,261) Ordinary (6,040) (6,040) N/A
01/06/2021 Merrill Lynch (Australia) Futures Limited BUY 17,262 Ordinary 8,549 8,549 N/A
01/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (6,600) Ordinary (3,293) (3,293) N/A
01/06/2021 Merrill Lynch(Australia)FuturesLimited BUY 55,894 Ordinary 27,808 27,808 N/A
01/06/2021 Merrill Lynch(Australia)FuturesLimited BUY 715 Ordinary 352 352 N/A
01/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,428) Ordinary (716) (716) N/A
01/06/2021 Merrill Lynch (Australia) Futures Limited SELL (17,354) Ordinary (8,549) (8,549) N/A
01/07/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (8,940) (8,940) RefertoApp. B
01/07/2021 Merrill Lynch International Securitiesreturned N/A Ordinary (457,000) (457,000) RefertoApp. B
01/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 68,830 Ordinary 34,415 34,415 N/A
01/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 2,692 Ordinary 1,338 1,338 N/A
01/07/2021 Merrill Lynch(Australia)FuturesLimited SELL (43) Ordinary (21) (21) N/A
01/07/2021 Merrill Lynch(Australia)FuturesLimited SELL (366) Ordinary (182) (182) N/A
01/07/2021 Merrill Lynch (Australia) Futures Limited SELL (2,676) Ordinary (1,338) (1,338) N/A
01/08/2021 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A Ordinary 83,090 83,090 RefertoApp. B
01/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (29,041) Ordinary (14,306) (14,306) N/A
01/08/2021 Merrill Lynch(Australia)FuturesLimited BUY 1,845 Ordinary 911 911 N/A
01/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (9,463) Ordinary (4,623) (4,623) N/A
01/08/2021 Merrill Lynch (Australia) Futures Limited BUY 34,275 Ordinary 16,884 16,884 N/A
01/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (35,291) Ordinary (17,317) (17,317) N/A
01/08/2021 Merrill Lynch(Australia)FuturesLimited BUY 28,986 Ordinary 14,306 14,306 N/A
01/11/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (83,090) (83,090) RefertoApp. B
01/11/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (70,366) (70,366) RefertoApp. B
Date of
change		 Person whose relevant interest changed Nature of change
(4)		 Consideratio
n (5)		 Class (6) of
securities		 Securities affected Person's votes
affected		 Remark
01/11/2021 Merrill Lynch International Securities borrowed N/A Ordinary 66,463 66,463 RefertoApp. B
01/11/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,177) Ordinary (583) (583) N/A
01/11/2021 Merrill Lynch(Australia)FuturesLimited BUY 10,359 Ordinary 5,084 5,084 N/A
01/11/2021 Merrill Lynch (Australia) Futures Limited SELL (10,168) Ordinary (5,084) (5,084) N/A
01/11/2021 Merrill Lynch(Australia)FuturesLimited BUY 636 Ordinary 318 318 N/A
01/11/2021 Merrill Lynch(Australia)FuturesLimited SELL (27,542) Ordinary (13,560) (13,560) N/A
01/11/2021 Merrill Lynch(Australia)FuturesLimited BUY 11,586 Ordinary 5,793 5,793 N/A
01/12/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (139,357) (139,357) RefertoApp. B
01/12/2021 Merrill Lynch International Securities returned N/A Ordinary (14,533) (14,533) Refer to App. B
01/12/2021 Merrill Lynch(Australia)FuturesLimited BUY 8,340 Ordinary 4,167 4,167 N/A
01/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (30,350) Ordinary (15,075) (15,075) N/A
01/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,635) Ordinary (813) (813) N/A
01/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (8,417) Ordinary (4,167) (4,167) N/A
01/13/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (5,465,153) (5,465,153) RefertoApp. B
01/13/2021 Merrill Lynch International Securitiesreturned N/A Ordinary (51,930) (51,930) RefertoApp. B
01/13/2021 Merrill Lynch (Australia) Futures Limited BUY 10,856 Ordinary 5,401 5,401 N/A
01/13/2021 Merrill Lynch(Australia)FuturesLimited SELL (13,695) Ordinary (6,794) (6,794) N/A
01/13/2021 Merrill Lynch(Australia)FuturesLimited BUY 17,438 Ordinary 8,701 8,701 N/A
01/13/2021 Merrill Lynch(Australia)FuturesLimited SELL (525) Ordinary (260) (260) N/A
01/13/2021 Merrill Lynch(Australia)FuturesLimited BUY 8,844 Ordinary 4,400 4,400 N/A
01/13/2021 Merrill Lynch(Australia)FuturesLimited SELL (17,489) Ordinary (8,701) (8,701) 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 and Integrated Core Strategies (Asia)
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 and JANCHOR PARTNERS PANASIAN MASTER F (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-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 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-6: 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-7: 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-8: 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-9: Prescribed information

Type of agreement International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International and JANCHOR PARTNERS PANASIAN MASTER F (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-10: 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-11: 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-12: 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 B-13: Prescribed information

Appendix B-13: Prescribed information
Type of agreement Securities LendingAgreement
Parties to agreement Merrill Lynch International and CITIBANK N.A. A/C OMNIBUS NON UK
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 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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