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Opthea Ltd Major Shareholding Notification 2022

Mar 23, 2022

32698_rns_2022-03-23_898a9b72-d718-4986-9b28-8bcb12629829.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 22 March 2022 15 March 2022

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 13,985,660 3.97% 14,290,694 4.06%
American
Depository Shares
(ADS)		 15,653,344 4.45% 7,866,952 2.24%
Total 29,639,004 8.42% 22,157,646 6.30%

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
4,545,490		 4,545,490
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
95,022		 95,022
Merrill Lynch
International		 Merrill Lynch
(Australia)
Nominees Pty. Ltd		 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.		 Ordinary
262,494		 262,494
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
8,887,688		 8,887,688
BofA
Securities, Inc.		 Merrill Lynch
(Australia)
Nominees Pty. Ltd		 BofA Securities,
Inc.		 Borrowing of securities
pursuant to a Stock Borrow
Loan Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 Ordinary
500,000		 500,000
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.		 982,269 ADS
representing
7,858,152
Ordinary
Shares
7,858,152
BofA
Securities, Inc.		 BofA Securities,
Inc.		 Borrowing of securities
pursuant to a Stock Borrow
Loan Agreement (see
Appendix B), with power to
control the voting and/or
disposal of borrowed
securities.		 1,100 ADS
representing
8,800
Ordinary
Shares
8,800

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
BofA Securities, Inc. One Bryant Park, New York NY 10036, USA

SIGNATURE

Print Name:
Sign Here:		 Kelvin Kwok
Capacity:
Authorised signatory
Date:
24 March 2022

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
03/14/2022 Merrill Lynch International SELL (10) Ordinary (12) (12) N/A
03/14/2022 Merrill Lynch International BUY 10 Ordinary 12 12
N/A
03/14/2022 Merrill Lynch(Australia)FuturesLimited BUY 37,932
Ordinary		 46,472 46,472
N/A
03/14/2022 Merrill Lynch(Australia)FuturesLimited BUY 32,080 Ordinary 39,169 39,169 N/A
03/14/2022 Merrill Lynch(Australia)FuturesLimited SELL (71,082) Ordinary (85,641) (85,641) N/A
03/14/2022 Merrill Lynch International Securities borrowed N/A ADS 34,474 275,792 Refer to App. B
03/14/2022 Merrill Lynch International Securitiesreturned N/A ADS (7) (56) RefertoApp. B
03/15/2022 Merrill Lynch(Australia)FuturesLimited BUY 40,231
Ordinary		 48,300 48,300 N/A
03/15/2022 Merrill Lynch(Australia)FuturesLimited SELL (40,814) Ordinary (48,300) (48,300) N/A
03/15/2022 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (2,773) (2,773) RefertoApp. B
03/15/2022 Merrill Lynch International Securities returned N/A ADS (34,474) (275,792) Refer to App. B
03/15/2022 Merrill Lynch International Securitiesreturned N/A ADS (1,147,801) (9,182,408) RefertoApp. B
03/15/2022 Merrill Lynch International Securities borrowed N/A ADS 1,182,275 9,458,200 RefertoApp. B
03/15/2022 Merrill Lynch International Securitiesreturned N/A ADS (82) (656) RefertoApp. B
03/16/2022 Merrill Lynch(Australia)FuturesLimited BUY 40,278 Ordinary 48,242 48,242
N/A
03/16/2022 Merrill Lynch(Australia)FuturesLimited SELL (40,282) Ordinary (48,242) (48,242) N/A
03/16/2022 Merrill Lynch International Securities borrowed N/A Ordinary 58,346 58,346 RefertoApp. B
03/16/2022 Merrill Lynch International Securities returned N/A ADS (304,100) (2,432,800) Refer to App. B
03/17/2022 Merrill Lynch(Australia)FuturesLimited BUY 47,645 Ordinary 55,459 55,459 N/A
03/17/2022 Merrill Lynch(Australia)FuturesLimited SELL (47,417) Ordinary (55,459) (55,459) N/A
03/17/2022 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (4,681) (4,681) RefertoApp. B
03/17/2022 Merrill Lynch International Securities borrowed N/A ADS 296,011 2,368,088 RefertoApp. B
03/18/2022 Merrill Lynch International BUY 335
Ordinary		 369 369
N/A
03/18/2022 Merrill Lynch International BUY 644
Ordinary		 704 704
N/A
03/18/2022 Merrill Lynch International BUY 788 Ordinary 861 861
N/A
03/18/2022 Merrill Lynch International BUY 1,253 Ordinary 1,381 1,381
N/A
03/18/2022 Merrill Lynch International BUY 1,104
Ordinary		 1,213 1,213 N/A
03/18/2022 Merrill Lynch International BUY 230 Ordinary 250 250 N/A
03/18/2022 Merrill Lynch International BUY 373 Ordinary 405 405 N/A
03/18/2022 Merrill Lynch International BUY 647
Ordinary		 707 707
N/A
03/18/2022 Merrill Lynch International BUY 14
Ordinary		 15 15 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
03/18/2022 Merrill Lynch International BUY 560
Ordinary		 609 609
N/A
03/18/2022 Merrill Lynch International BUY 537
Ordinary		 600 600 N/A
03/18/2022 Merrill Lynch International BUY 886
Ordinary		 987 987
N/A
03/18/2022 Merrill Lynch International BUY 542
Ordinary		 602 602
N/A
03/18/2022 Merrill Lynch International BUY 1,178 Ordinary 1,313 1,313 N/A
03/18/2022 Merrill Lynch International BUY 442
Ordinary		 494 494
N/A
03/18/2022 Merrill Lynch International BUY 677
Ordinary		 756 756 N/A
03/18/2022 Merrill Lynch International BUY 179
Ordinary		 200 200
N/A
03/18/2022 Merrill Lynch International BUY 46 Ordinary 51 51
N/A
03/18/2022 Merrill Lynch International BUY 349 Ordinary 390 390 N/A
03/18/2022 Merrill Lynch International BUY 801
Ordinary		 893 893 N/A
03/18/2022 Merrill Lynch International BUY 944
Ordinary		 1,055 1,055 N/A
03/18/2022 Merrill Lynch International BUY 808
Ordinary		 898 898
N/A
03/18/2022 Merrill Lynch International BUY 667
Ordinary		 741 741
N/A
03/18/2022 Merrill Lynch International BUY 356
Ordinary		 395 395
N/A
03/18/2022 Merrill Lynch International BUY 639 Ordinary 714 714
N/A
03/18/2022 Merrill Lynch International BUY 518 Ordinary 577 577
N/A
03/18/2022 Merrill Lynch International BUY 292
Ordinary		 326 326 N/A
03/18/2022 Merrill Lynch International BUY 1,087
Ordinary		 1,218 1,218 N/A
03/18/2022 Merrill Lynch International BUY 232
Ordinary		 258 258
N/A
03/18/2022 Merrill Lynch International BUY 1,560 Ordinary 1,733 1,733 N/A
03/18/2022 Merrill Lynch International BUY 40 Ordinary 44 44
N/A
03/18/2022 Merrill Lynch International BUY 612
Ordinary		 672 672
N/A
03/18/2022 Merrill Lynch International BUY 952
Ordinary		 1,052 1,052
N/A
03/18/2022 Merrill Lynch International BUY 1,390
Ordinary		 1,536 1,536
N/A
03/18/2022 Merrill Lynch International BUY 1,472
Ordinary		 1,627 1,627
N/A
03/18/2022 Merrill Lynch International BUY 176
Ordinary		 194 194
N/A
03/18/2022 Merrill Lynch International BUY 763 Ordinary 843 843 N/A
03/18/2022 Merrill Lynch International BUY 833 Ordinary 925 925 N/A
03/18/2022 Merrill Lynch International BUY 764
Ordinary		 849 849 N/A
03/18/2022 Merrill Lynch International BUY 144
Ordinary		 161 161
N/A
03/18/2022 Merrill Lynch International BUY 614
Ordinary		 682 682
N/A
03/18/2022 Merrill Lynch International BUY 227
Ordinary		 252 252
N/A
03/18/2022 Merrill Lynch International BUY 1,074
Ordinary		 1,193 1,193 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
03/18/2022 Merrill Lynch International BUY 1,436
Ordinary		 1,596 1,596
N/A
03/18/2022 Merrill Lynch International BUY 202
Ordinary		 224 224
N/A
03/18/2022 Merrill Lynch International BUY 1,106
Ordinary		 1,222 1,222
N/A
03/18/2022 Merrill Lynch International BUY 1,189 Ordinary 1,314 1,314
N/A
03/18/2022 Merrill Lynch International BUY 858 Ordinary 948 948 N/A
03/18/2022 Merrill Lynch International BUY 211
Ordinary		 233 233 N/A
03/18/2022 Merrill Lynch International BUY 565 Ordinary 624 624
N/A
03/18/2022 Merrill Lynch International BUY 558
Ordinary		 617 617
N/A
03/18/2022 Merrill Lynch International BUY 143 Ordinary 158 158 N/A
03/18/2022 Merrill Lynch International BUY 1,337
Ordinary		 1,494 1,494
N/A
03/18/2022 Merrill Lynch International BUY 213 Ordinary 237 237
N/A
03/18/2022 Merrill Lynch International BUY 68 Ordinary 75 75 N/A
03/18/2022 Merrill Lynch International BUY 4 Ordinary 4 4 N/A
03/18/2022 Merrill Lynch International BUY 26 Ordinary 29 29 N/A
03/18/2022 Merrill Lynch International BUY 714
Ordinary		 796 796
N/A
03/18/2022 Merrill Lynch International BUY 946 Ordinary 1,045 1,045 N/A
03/18/2022 Merrill Lynch International BUY 1,006 Ordinary 1,109 1,109 N/A
03/18/2022 Merrill Lynch International BUY 225 Ordinary 248 248 N/A
03/18/2022 Merrill Lynch International BUY 1,508 Ordinary 1,662 1,662
N/A
03/18/2022 Merrill Lynch International BUY 43
Ordinary		 47 47
N/A
03/18/2022 Merrill Lynch International BUY 1,541
Ordinary		 1,693 1,693 N/A
03/18/2022 Merrill Lynch International BUY 944
Ordinary		 1,037 1,037
N/A
03/18/2022 Merrill Lynch International BUY 771
Ordinary		 847 847
N/A
03/18/2022 Merrill Lynch International BUY 184
Ordinary		 202 202
N/A
03/18/2022 Merrill Lynch International BUY 414
Ordinary		 455 455
N/A
03/18/2022 Merrill Lynch International BUY 705 Ordinary 770 770 N/A
03/18/2022 Merrill Lynch International BUY 270
Ordinary		 295 295
N/A
03/18/2022 Merrill Lynch International BUY 617
Ordinary		 674 674
N/A
03/18/2022 Merrill Lynch International BUY 229 Ordinary 250 250 N/A
03/18/2022 Merrill Lynch International BUY 76 Ordinary 83 83 N/A
03/18/2022 Merrill Lynch International BUY 198 Ordinary 215 215 N/A
03/18/2022 Merrill Lynch International BUY 92
Ordinary		 100 100
N/A
03/18/2022 Merrill Lynch International BUY 458 Ordinary 500 500 N/A
03/18/2022 Merrill Lynch International BUY 1,251
Ordinary		 1,360 1,360 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
03/18/2022 Merrill Lynch International BUY 308
Ordinary		 335 335
N/A
03/18/2022 Merrill Lynch International BUY 562
Ordinary		 611 611
N/A
03/18/2022 Merrill Lynch International BUY 171
Ordinary		 186 186
N/A
03/18/2022 Merrill Lynch International BUY 303 Ordinary 333 333 N/A
03/18/2022 Merrill Lynch International BUY 355 Ordinary 388 388 N/A
03/18/2022 Merrill Lynch International BUY 526 Ordinary 578 578 N/A
03/18/2022 Merrill Lynch International BUY 1,483 Ordinary 1,621 1,621
N/A
03/18/2022 Merrill Lynch International BUY 850
Ordinary		 929 929
N/A
03/18/2022 Merrill Lynch International BUY 648 Ordinary 708 708 N/A
03/18/2022 Merrill Lynch International BUY 712
Ordinary		 778 778 N/A
03/18/2022 Merrill Lynch International BUY 553 Ordinary 601 601
N/A
03/18/2022 Merrill Lynch International BUY 452
Ordinary		 491 491
N/A
03/18/2022 Merrill Lynch International BUY 398
Ordinary		 433 433
N/A
03/18/2022 Merrill Lynch International BUY 179 Ordinary 195 195 N/A
03/18/2022 Merrill Lynch International BUY 303
Ordinary		 329 329
N/A
03/18/2022 Merrill Lynch International BUY 1,145 Ordinary 1,245 1,245 N/A
03/18/2022 Merrill Lynch International BUY 339 Ordinary 369 369 N/A
03/18/2022 Merrill Lynch International BUY 525 Ordinary 574 574
N/A
03/18/2022 Merrill Lynch International BUY 1,020 Ordinary 1,115 1,115 N/A
03/18/2022 Merrill Lynch International BUY 1,018
Ordinary		 1,113 1,113
N/A
03/18/2022 Merrill Lynch International BUY 562
Ordinary		 616 616 N/A
03/18/2022 Merrill Lynch International BUY 778 Ordinary 850 850 N/A
03/18/2022 Merrill Lynch International BUY 415 Ordinary 454 454
N/A
03/18/2022 Merrill Lynch International BUY 50 Ordinary 55 55 N/A
03/18/2022 Merrill Lynch International BUY 762
Ordinary		 837 837
N/A
03/18/2022 Merrill Lynch International BUY 920 Ordinary 1,011 1,011
N/A
03/18/2022 Merrill Lynch International BUY 205
Ordinary		 225 225
N/A
03/18/2022 Merrill Lynch International BUY 782
Ordinary		 850 850 N/A
03/18/2022 Merrill Lynch International BUY 193 Ordinary 210 210 N/A
03/18/2022 Merrill Lynch International BUY 279 Ordinary 303 303 N/A
03/18/2022 Merrill Lynch International BUY 695 Ordinary 751 751
N/A
03/18/2022 Merrill Lynch International BUY 665
Ordinary		 719 719
N/A
03/18/2022 Merrill Lynch International BUY 622
Ordinary		 676 676 N/A
03/18/2022 Merrill Lynch International BUY 482
Ordinary		 527 527
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
03/18/2022 Merrill Lynch International BUY 778
Ordinary		 850 850
N/A
03/18/2022 Merrill Lynch International BUY 568 Ordinary 624 624
N/A
03/18/2022 Merrill Lynch International BUY 80
Ordinary		 87 87
N/A
03/18/2022 Merrill Lynch International BUY 288 Ordinary 317 317
N/A
03/18/2022 Merrill Lynch International BUY 280 Ordinary 308 308 N/A
03/18/2022 Merrill Lynch International BUY 688 Ordinary 752 752
N/A
03/18/2022 Merrill Lynch International BUY 73 Ordinary 79 79 N/A
03/18/2022 Merrill Lynch International BUY 856
Ordinary		 936 936
N/A
03/18/2022 Merrill Lynch International BUY 832
Ordinary		 912 912
N/A
03/18/2022 Merrill Lynch International BUY 268 Ordinary 293 293 N/A
03/18/2022 Merrill Lynch International BUY 924
Ordinary		 1,004 1,004
N/A
03/18/2022 Merrill Lynch International BUY 469 Ordinary 510 510 N/A
03/18/2022 Merrill Lynch International BUY 142
Ordinary		 154 154
N/A
03/18/2022 Merrill Lynch International BUY 650 Ordinary 707 707
N/A
03/18/2022 Merrill Lynch International BUY 34
Ordinary		 37 37
N/A
03/18/2022 Merrill Lynch International BUY 213 Ordinary 230 230 N/A
03/18/2022 Merrill Lynch International BUY 574
Ordinary		 620 620 N/A
03/18/2022 Merrill Lynch International BUY 270 Ordinary 292 292
N/A
03/18/2022 Merrill Lynch International BUY 587
Ordinary		 635 635 N/A
03/18/2022 Merrill Lynch International BUY 793
Ordinary		 862 862
N/A
03/18/2022 Merrill Lynch International BUY 453 Ordinary 490 490 N/A
03/18/2022 Merrill Lynch International BUY 434
Ordinary		 469 469 N/A
03/18/2022 Merrill Lynch International BUY 199 Ordinary 215 215 N/A
03/18/2022 Merrill Lynch International BUY 594
Ordinary		 646 646 N/A
03/18/2022 Merrill Lynch International BUY 465
Ordinary		 505 505
N/A
03/18/2022 Merrill Lynch International BUY 692
Ordinary		 744 744
N/A
03/18/2022 Merrill Lynch International BUY 473
Ordinary		 509 509
N/A
03/18/2022 Merrill Lynch International BUY 565 Ordinary 608 608 N/A
03/18/2022 Merrill Lynch International BUY 317
Ordinary		 341 341
N/A
03/18/2022 Merrill Lynch International BUY 351
Ordinary		 377 377
N/A
03/18/2022 Merrill Lynch International BUY 1,007
Ordinary		 1,066 1,066 N/A
03/18/2022 Merrill Lynch (Australia) Futures Limited BUY 3,640
Ordinary		 3,852 3,852
N/A
03/18/2022 Merrill Lynch International Securitiesreturned N/A Ordinary (58,346) (58,346) RefertoApp. B
03/18/2022 Merrill Lynch International Securities borrowed N/A Ordinary 395,722 395,722 RefertoApp. 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
03/18/2022 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A Ordinary (22,549) (22,549) Refer to App. B
03/18/2022 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A Ordinary (22,549) (22,549) RefertoApp. B
03/18/2022 Merrill Lynch International Securities returned N/A ADS (878,175) (7,025,400) Refer to App. B
03/18/2022 Merrill Lynch International Securitiesreturned N/A ADS (296,011) (2,368,088) RefertoApp. B
03/18/2022 Merrill Lynch International Securities borrowed N/A ADS 1,174,186 9,393,488 RefertoApp. B
03/18/2022 Merrill Lynch International Securitiesreturned N/A ADS (16,758) (134,064) RefertoApp. B
03/21/2022 Merrill Lynch International SELL (4,817) Ordinary (4,992) (4,992) N/A
03/21/2022 Merrill Lynch International BUY 4,817
Ordinary		 4,992 4,992
N/A
03/21/2022 Merrill Lynch International SELL (4,817) Ordinary (4,992) (4,992) N/A
03/21/2022 Merrill Lynch International BUY 4,817
Ordinary		 4,992 4,992
N/A
03/21/2022 Merrill Lynch International SELL (4,892) Ordinary (4,992) (4,992) N/A
03/21/2022 Merrill Lynch International BUY 4,892
Ordinary		 4,992 4,992
N/A
03/21/2022 Merrill Lynch (Australia) Futures Limited BUY 663
Ordinary		 666 666
N/A
03/21/2022 Merrill Lynch International Securitiesreturned N/A Ordinary (77,210) (77,210) RefertoApp. B
03/21/2022 Merrill Lynch International Securities returned N/A Ordinary (283,829) (283,829) Refer to App. B
03/21/2022 Merrill Lynch International Securitiesreturned N/A ADS (6,441) (51,528) RefertoApp. B
03/21/2022 Merrill Lynch International Securities borrowed N/A ADS 25,136 201,088 RefertoApp. B
03/22/2022 Merrill Lynch(Australia)FuturesLimited BUY 459 Ordinary 471 471
N/A
03/22/2022 Merrill Lynch International Securitiesreturned N/A Ordinary (34,683) (34,683) RefertoApp. B
03/22/2022 Merrill Lynch International Securities borrowed N/A Ordinary 262,494 262,494 Refer to App. B
03/22/2022 Merrill Lynch International Securitiesreturned N/A ADS (25,136) (201,088) RefertoApp. B
03/22/2022 Merrill Lynch International Securitiesreturned N/A ADS (1,157,428) (9,259,424) RefertoApp. B
03/22/2022 Merrill Lynch International Securities borrowed N/A ADS 1,182,564 9,460,512 RefertoApp. B
03/22/2022 Merrill Lynch International Securitiesreturned N/A ADS (1,002,632) (8,021,056) RefertoApp. B
03/22/2022 BofASecurities,Inc. Securities borrowed N/A ADS 1,100 8,800 RefertoApp. B

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
Susquehanna Pacific Pty Ltd
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
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-3: 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-4: 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-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 Pty Limited 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 Pty Limited as Trustee of Regal Australian Long
Short Equity 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-7: 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 Pty Limited 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-8: 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 Entity Of 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-9: Prescribed information

Type of agreement Securities Lending Agreement
Parties to
agreement		 BofA Securities, Inc. and INTERACTIVE BROKERS
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

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 Markets (Australia) Pty. Limited Australia 075587816
Merrill Lynch(Australasia)Pty. Ltd Australia 075923894
Bank of 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
Bankof America Corporation United States N/A628

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