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Opthea Ltd Major Shareholding Notification 2022

Jan 13, 2022

32698_rns_2022-01-13_7eadb2e5-f825-4f9f-8df3-4dc5ff57a0e0.pdf

Major Shareholding Notification

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Form 603

Corporations Act Section 671B Notice of initial substantial holder

To: Company Name/Scheme OPTHEA LIMITED

ACN/ ~~ARSN~~

006 340 567

1. Details of substantial holder (1)

Name

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

ACN/ARSN (if applicable)

The holder became a substantial holder on: 12 January 2022

2. Details of voting power

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

Class of securities (4) Number of securities Persons’ votes (5) Voting power (6)
Ordinary 12,652,867 12,652,867 3.60%
American Depository Shares (ADS) 841,639 6,733,112 1.91%
Total Voting Power 19,385,979 5.51%

3. Details of relevant interests

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

Holder of relevant interest Nature of relevant interest (7) Class and number of securities
Merrill Lynch (Australia) Futures Limited Power to control voting and/or disposal of
securities in its capacity as ultimate beneficial
owner having a principal position.
Ordinary 4,540,646
Merrill Lynch International Power to control voting and/or disposal of
securities in its capacity as ultimate beneficial
owner having a principal position.
Ordinary 5,074
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 8,107,147
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.
841,639 ADS representing
6,733,112 Ordinary Shares

4. Details of present registered holders

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

Holder of relevant
interest
Registered holder of
securities
Person entitled to be
registered as holder (8)
Class and number of
securities
Merrill Lynch (Australia)
Futures Limited
Merrill Lynch (Australia)
Nominees Pty Ltd
Merrill Lynch (Australia)
Futures Limited
Ordinary 4,540,646
Merrill Lynch International Merrill Lynch (Australia)
Nominees Pty Ltd
Merrill Lynch International Ordinary 5,074
Merrill Lynch Markets
(Australia) Pty. Limited
Merrill Lynch (Australia)
Nominees Pty Ltd
Merrill Lynch Markets
(Australia) Pty. Limited
Ordinary 8,107,147
Merrill Lynch International Merrill Lynch International 841,639 ADS representing
6,733,112 Ordinary Shares

5. Consideration

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

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

6. Associates

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

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

7. Addresses

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

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

SIGNATURE

Print Name: Kelvin Kwok Capacity: Authorised signatory Sign Here: Date: 14 January 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
09/13/2021 Merrill Lynch (Australia) Futures Limited BUY 15,112
Ordinary
11,091 11,091 N/A
09/13/2021 Merrill Lynch (Australia) Futures Limited SELL (2,023)
Ordinary
(1,461) (1,461) N/A
09/13/2021 Merrill Lynch (Australia) Futures Limited SELL (1,958)
Ordinary
(1,422) (1,422) N/A
09/13/2021 Merrill Lynch (Australia) Futures Limited BUY 3,011
Ordinary
2,214 2,214 N/A
09/13/2021 Merrill Lynch (Australia) Futures Limited BUY 858,276
Ordinary
631,085 631,085 N/A
09/13/2021 Merrill Lynch(Australia)FuturesLimited SELL (15,312) Ordinary (11,259) (11,259) N/A
09/13/2021 Merrill Lynch International Securities returned N/A
ADS
(89,961) (719,688) Refer to App. B
09/14/2021 Merrill Lynch (Australia) Futures Limited BUY 21,438
Ordinary
16,039 16,039 N/A
09/14/2021 Merrill Lynch (Australia) Futures Limited SELL (19,641)
Ordinary
(14,655) (14,655) N/A
09/14/2021 Merrill Lynch (Australia) Futures Limited BUY 1,189
Ordinary
881 881 N/A
09/14/2021 Merrill Lynch (Australia) Futures Limited SELL (2,644)
Ordinary
(1,980) (1,980) N/A
09/14/2021 Merrill Lynch(Australia)FuturesLimited SELL (23,577) Ordinary (17,400) (17,400) N/A
09/14/2021 BofA Securities, Inc. Securities returned N/A
ADS
(400) (3,200) Refer to App. B
09/14/2021 BofA Securities, Inc. Securities returned N/A
ADS
(900) (7,200) Refer to App. B
09/15/2021 Merrill Lynch (Australia) Futures Limited SELL (9,070)
Ordinary
(6,694) (6,694) N/A
09/15/2021 Merrill Lynch (Australia) Futures Limited BUY 54,715
Ordinary
40,862 40,862 N/A
09/15/2021 Merrill Lynch (Australia) Futures Limited BUY 5,474
Ordinary
4,116 4,116 N/A
09/15/2021 Merrill Lynch(Australia)FuturesLimited SELL (528) Ordinary (391) (391) N/A
09/15/2021 Merrill Lynch (Australia) Futures Limited SELL (62,487)
Ordinary
(46,287) (46,287) N/A
09/15/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(83,622) (83,622) Refer to App. B
09/15/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(73,782) (73,782) Refer to App. B
09/15/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(160,924) (160,924) Refer to App. B
09/15/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
100 800 Refer to App. B
09/15/2021 BofASecurities,Inc. Securities borrowed N/A
ADS
600 4,800 RefertoApp. B
09/15/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
700 5,600 Refer to App. B
09/15/2021 BofA Securities, Inc. Securities returned N/A
ADS
(700) (5,600) Refer to App. B
09/16/2021 Merrill Lynch (Australia) Futures Limited BUY 453
Ordinary
343 343 N/A
09/16/2021 Merrill Lynch (Australia) Futures Limited BUY 12,699
Ordinary
9,533 9,533 N/A
09/16/2021 Merrill Lynch(Australia)FuturesLimited SELL (12,786) Ordinary (9,542) (9,542) 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
09/16/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A
Ordinary
406,865 406,865 Refer to App. B
09/16/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(76,728) (76,728) Refer to App. B
09/16/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(18,506) (18,506) RefertoApp. B
09/16/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(9) (72) RefertoApp. B
09/16/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
09/16/2021 BofA Securities, Inc. Securities returned N/A
ADS
(500) (4,000) Refer to App. B
09/17/2021 Merrill Lynch (Australia) Futures Limited BUY 114,864
Ordinary
90,408 90,408 N/A
09/17/2021 Merrill Lynch (Australia) Futures Limited BUY 48,279
Ordinary
38,317 38,317 N/A
09/17/2021 Merrill Lynch(Australia)FuturesLimited BUY 25,393 Ordinary 19,340 19,340 N/A
09/17/2021 Merrill Lynch(Australia)FuturesLimited SELL (38,327) Ordinary (28,602) (28,602) N/A
09/17/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(113,237) (113,237) Refer to App. B
09/17/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(282,597) (282,597) Refer to App. B
09/17/2021 Merrill Lynch International Securities returned N/A
ADS
(9) (72) Refer to App. B
09/17/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
09/17/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(700) (5,600) RefertoApp. B
09/17/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(9,300) (74,400) RefertoApp. B
09/17/2021 BofA Securities, Inc. Securities returned N/A
ADS
(1,100) (8,800) Refer to App. B
09/20/2021 Merrill Lynch (Australia) Futures Limited SELL (21,865)
Ordinary
(17,067) (17,067) N/A
09/20/2021 Merrill Lynch (Australia) Futures Limited BUY 1,476
Ordinary
1,162 1,162 N/A
09/20/2021 Merrill Lynch (Australia) Futures Limited BUY 41,335
Ordinary
32,305 32,305 N/A
09/20/2021 Merrill Lynch(Australia)FuturesLimited SELL (4,656) Ordinary (3,658) (3,658) N/A
09/20/2021 Merrill Lynch(Australia)FuturesLimited SELL (41,189) Ordinary (32,305) (32,305) N/A
09/20/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A
Ordinary
133,333 133,333 Refer to App. B
09/20/2021 Merrill Lynch International Securities borrowed N/A
ADS
97,022 776,176 Refer to App. B
09/20/2021 Merrill Lynch International Securities borrowed N/A
ADS
541,600 4,332,800 Refer to App. B
09/21/2021 Merrill Lynch International BUY 115
Ordinary
90 90 N/A
09/21/2021 Merrill Lynch International SELL (115) Ordinary (90) (90) N/A
09/21/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,375 Ordinary 10,743 10,743 N/A
09/21/2021 Merrill Lynch (Australia) Futures Limited BUY 65,845
Ordinary
53,049 53,049 N/A
09/21/2021 Merrill Lynch (Australia) Futures Limited SELL (31,630)
Ordinary
(25,637) (25,637) N/A
09/21/2021 Merrill Lynch (Australia) Futures Limited SELL (122,294)
Ordinary
(95,917) (95,917) 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
09/21/2021 Merrill Lynch International Securities returned N/A
ADS
(13,089) (104,712) Refer to App. B
09/21/2021 Merrill Lynch International Securities returned N/A
ADS
(541,600) (4,332,800) Refer to App. B
09/21/2021 Merrill Lynch International Securities borrowed N/A
ADS
554,689 4,437,512 RefertoApp. B
09/21/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(97,022) (776,176) RefertoApp. B
09/21/2021 Merrill Lynch International Securities returned N/A
ADS
(252,400) (2,019,200) Refer to App. B
09/21/2021 Merrill Lynch International Securities borrowed N/A
ADS
349,422 2,795,376 Refer to App. B
09/21/2021 Merrill Lynch International Securities returned N/A
ADS
(134,509) (1,076,072) Refer to App. B
09/22/2021 Merrill Lynch (Australia) Futures Limited BUY 1,918
Ordinary
1,525 1,525 N/A
09/22/2021 Merrill Lynch(Australia)FuturesLimited SELL (6,185) Ordinary (4,874) (4,874) N/A
09/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 19,719 Ordinary 15,597 15,597 N/A
09/22/2021 Merrill Lynch (Australia) Futures Limited SELL (24,564)
Ordinary
(19,730) (19,730) N/A
09/22/2021 Merrill Lynch International Securities borrowed N/A
ADS
146,721 1,173,768 Refer to App. B
09/23/2021 Merrill Lynch International BUY 1
Ordinary
1 1 N/A
09/23/2021 Merrill Lynch International BUY 4
Ordinary
3 3 N/A
09/23/2021 Merrill Lynch International BUY 32
Ordinary
24 24 N/A
09/23/2021 Merrill Lynch International BUY 82
Ordinary
62 62 N/A
09/23/2021 Merrill Lynch (Australia) Futures Limited BUY 17,354
Ordinary
13,112 13,112 N/A
09/23/2021 Merrill Lynch (Australia) Futures Limited BUY 109
Ordinary
81 81 N/A
09/23/2021 Merrill Lynch (Australia) Futures Limited BUY 11,216
Ordinary
8,501 8,501 N/A
09/23/2021 Merrill Lynch International Securities returned N/A
ADS
(146,721) (1,173,768) Refer to App. B
09/23/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(420,180) (3,361,440) RefertoApp. B
09/23/2021 Merrill Lynch International Securities borrowed N/A
ADS
566,901 4,535,208 RefertoApp. B
09/23/2021 Merrill Lynch International Securities returned N/A
ADS
(190,151) (1,521,208) Refer to App. B
09/23/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
600 4,800 Refer to App. B
09/24/2021 Merrill Lynch (Australia) Futures Limited SELL (38,621)
Ordinary
(28,608) (28,608) N/A
09/24/2021 Merrill Lynch (Australia) Futures Limited BUY 34,019
Ordinary
25,434 25,434 N/A
09/24/2021 Merrill Lynch(Australia)FuturesLimited SELL (672) Ordinary (492) (492) N/A
09/24/2021 Merrill Lynch(Australia)FuturesLimited SELL (64,787) Ordinary (47,463) (47,463) N/A
09/24/2021 Merrill Lynch International Securities borrowed N/A
ADS
92,160 737,280 Refer to App. B
09/24/2021 BofA Securities, Inc. Securities returned N/A
ADS
(600) (4,800) Refer to App. B
09/27/2021 Merrill Lynch (Australia) Futures Limited SELL (382)
Ordinary
(288) (288) 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
09/27/2021 Merrill Lynch (Australia) Futures Limited BUY 6,872
Ordinary
5,191 5,191 N/A
09/27/2021 Merrill Lynch International Securities returned N/A
ADS
(92,160) (737,280) Refer to App. B
09/27/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(376,750) (3,014,000) RefertoApp. B
09/27/2021 Merrill Lynch International Securities borrowed N/A
ADS
468,910 3,751,280 RefertoApp. B
09/27/2021 Merrill Lynch International Securities returned N/A
ADS
(455,812) (3,646,496) Refer to App. B
09/27/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
600 4,800 Refer to App. B
09/28/2021 Merrill Lynch (Australia) Futures Limited BUY 15,078
Ordinary
11,236 11,236 N/A
09/28/2021 Merrill Lynch (Australia) Futures Limited BUY 24,224
Ordinary
17,944 17,944 N/A
09/28/2021 Merrill Lynch(Australia)FuturesLimited SELL (14,888) Ordinary (11,236) (11,236) N/A
09/28/2021 Merrill Lynch(Australia)FuturesLimited SELL (7,560) Ordinary (5,706) (5,706) N/A
09/28/2021 BofA Securities, Inc. Securities returned N/A
ADS
(300) (2,400) Refer to App. B
09/28/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
09/28/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
09/29/2021 Merrill Lynch (Australia) Futures Limited SELL (22,818)
Ordinary
(16,987) (16,987) N/A
09/29/2021 Merrill Lynch(Australia)FuturesLimited BUY 28,947
Ordinary
21,520 21,520 N/A
09/29/2021 Merrill Lynch(Australia)FuturesLimited SELL (2,417,946) Ordinary (1,796,191) (1,796,191) N/A
09/29/2021 Merrill Lynch (Australia) Futures Limited SELL (28,948)
Ordinary
(21,523) (21,523) N/A
09/29/2021 Merrill Lynch International Securities returned N/A
ADS
(1,000) (8,000) Refer to App. B
09/30/2021 Merrill Lynch (Australia) Futures Limited BUY 8,462
Ordinary
6,420 6,420 N/A
09/30/2021 Merrill Lynch (Australia) Futures Limited SELL (507)
Ordinary
(381) (381) N/A
09/30/2021 Merrill Lynch(Australia)FuturesLimited SELL (8,667) Ordinary (6,420) (6,420) N/A
09/30/2021 BofASecurities,Inc. Securities borrowed N/A
ADS
400 3,200 RefertoApp. B
10/01/2021 Merrill Lynch (Australia) Futures Limited SELL (5,358)
Ordinary
(3,969) (3,969) N/A
10/01/2021 Merrill Lynch (Australia) Futures Limited BUY 4,246
Ordinary
3,139 3,139 N/A
10/01/2021 Merrill Lynch (Australia) Futures Limited SELL (9,450)
Ordinary
(7,105) (7,105) N/A
10/01/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
400 3,200 Refer to App. B
10/01/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(200) (1,600) RefertoApp. B
10/01/2021 BofASecurities,Inc. Securities borrowed N/A
ADS
200 1,600 RefertoApp. B
10/04/2021 Merrill Lynch (Australia) Futures Limited SELL (1,661)
Ordinary
(1,245) (1,245) N/A
10/04/2021 Merrill Lynch (Australia) Futures Limited SELL (14,709)
Ordinary
(10,855) (10,855) N/A
10/04/2021 Merrill Lynch (Australia) Futures Limited BUY 9,373
Ordinary
7,030 7,030 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
10/04/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
10/04/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
10/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 8,071
Ordinary
6,126 6,126 N/A
10/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 2,915 Ordinary 2,242 2,242 N/A
10/05/2021 Merrill Lynch (Australia) Futures Limited SELL (917)
Ordinary
(705) (705) N/A
10/05/2021 Merrill Lynch (Australia) Futures Limited SELL (11,419)
Ordinary
(8,784) (8,784) N/A
10/05/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
10/05/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
10/06/2021 Merrill Lynch(Australia)FuturesLimited BUY 31,779 Ordinary 24,382 24,382 N/A
10/06/2021 Merrill Lynch(Australia)FuturesLimited BUY 521
Ordinary
401 401 N/A
10/06/2021 Merrill Lynch (Australia) Futures Limited SELL (1,175)
Ordinary
(881) (881) N/A
10/06/2021 Merrill Lynch (Australia) Futures Limited BUY 5,021
Ordinary
3,833 3,833 N/A
10/06/2021 Merrill Lynch (Australia) Futures Limited SELL (35,552)
Ordinary
(27,139) (27,139) N/A
10/06/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
10/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 18,832
Ordinary
14,509 14,509 N/A
10/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 7,868 Ordinary 6,052 6,052 N/A
10/07/2021 Merrill Lynch (Australia) Futures Limited SELL (2,202)
Ordinary
(1,687) (1,687) N/A
10/07/2021 Merrill Lynch (Australia) Futures Limited SELL (21,424)
Ordinary
(16,354) (16,354) N/A
10/07/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(1,921,494) (1,921,494) Refer to App. B
10/07/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(2,421,045) (2,421,045) Refer to App. B
10/07/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(5,377,374) (5,377,374) RefertoApp. B
10/07/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(133,333) (133,333) RefertoApp. B
10/07/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(11,031) (11,031) Refer to App. B
10/07/2021 Merrill Lynch International Securities returned N/A
ADS
(7,200) (57,600) Refer to App. B
10/07/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
4,000 32,000 Refer to App. B
10/08/2021 Merrill Lynch (Australia) Futures Limited SELL (2,723)
Ordinary
(2,104) (2,104) N/A
10/08/2021 Merrill Lynch(Australia)FuturesLimited BUY 23,869 Ordinary 18,407 18,407 N/A
10/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (23,929) Ordinary (18,407) (18,407) N/A
10/11/2021 Merrill Lynch (Australia) Futures Limited SELL (1,340)
Ordinary
(1,052) (1,052) N/A
10/11/2021 Merrill Lynch (Australia) Futures Limited BUY 4,214
Ordinary
3,292 3,292 N/A
10/11/2021 Merrill Lynch (Australia) Futures Limited BUY 17,682
Ordinary
13,762 13,762 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
10/11/2021 Merrill Lynch (Australia) Futures Limited SELL (24,773)
Ordinary
(19,056) (19,056) N/A
10/12/2021 Merrill Lynch (Australia) Futures Limited BUY 3,371
Ordinary
2,654 2,654 N/A
10/12/2021 Merrill Lynch(Australia)FuturesLimited BUY 18,160 Ordinary 14,240 14,240 N/A
10/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (20,043) Ordinary (15,598) (15,598) N/A
10/12/2021 Merrill Lynch International Securities borrowed N/A
ADS
408,677 3,269,416 Refer to App. B
10/12/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
700 5,600 Refer to App. B
10/13/2021 Merrill Lynch (Australia) Futures Limited BUY 1,161
Ordinary
901 901 N/A
10/13/2021 Merrill Lynch (Australia) Futures Limited BUY 18,113
Ordinary
14,097 14,097 N/A
10/13/2021 Merrill Lynch(Australia)FuturesLimited BUY 214
Ordinary
167 167 N/A
10/13/2021 Merrill Lynch(Australia)FuturesLimited SELL (20,693) Ordinary (16,294) (16,294) N/A
10/13/2021 Merrill Lynch International Securities returned N/A
ADS
(408,677) (3,269,416) Refer to App. B
10/13/2021 Merrill Lynch International Securities returned N/A
ADS
(4,898) (39,184) Refer to App. B
10/13/2021 Merrill Lynch International Securities borrowed N/A
ADS
413,575 3,308,600 Refer to App. B
10/13/2021 Merrill Lynch International Securities returned N/A
ADS
(368,453) (2,947,624) Refer to App. B
10/13/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(700) (5,600) RefertoApp. B
10/13/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(1,600) (12,800) RefertoApp. B
10/14/2021 Merrill Lynch (Australia) Futures Limited SELL (1,167)
Ordinary
(908) (908) N/A
10/14/2021 Merrill Lynch (Australia) Futures Limited BUY 5,176
Ordinary
3,999 3,999 N/A
10/14/2021 Merrill Lynch (Australia) Futures Limited BUY 4,215
Ordinary
3,280 3,280 N/A
10/14/2021 Merrill Lynch (Australia) Futures Limited BUY 15,131
Ordinary
11,714 11,714 N/A
10/14/2021 Merrill Lynch(Australia)FuturesLimited SELL (22,540) Ordinary (17,541) (17,541) N/A
10/14/2021 Merrill Lynch International Securities borrowed N/A
ADS
605,587 4,844,696 RefertoApp. B
10/15/2021 Merrill Lynch (Australia) Futures Limited BUY 17,499
Ordinary
13,679 13,679 N/A
10/15/2021 Merrill Lynch (Australia) Futures Limited SELL (404)
Ordinary
(312) (312) N/A
10/15/2021 Merrill Lynch (Australia) Futures Limited SELL (17,578)
Ordinary
(13,679) (13,679) N/A
10/15/2021 Merrill Lynch International Securities returned N/A
ADS
(605,587) (4,844,696) Refer to App. B
10/15/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(45,122) (360,976) RefertoApp. B
10/15/2021 Merrill Lynch International Securities borrowed N/A
ADS
650,709 5,205,672 RefertoApp. B
10/15/2021 Merrill Lynch International Securities borrowed N/A
ADS
18,168 145,344 Refer to App. B
10/15/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
200 1,600 Refer to App. B
10/18/2021 Merrill Lynch (Australia) Futures Limited BUY 13,407
Ordinary
10,549 10,549 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
10/18/2021 Merrill Lynch (Australia) Futures Limited BUY 1,195
Ordinary
943 943 N/A
10/18/2021 Merrill Lynch (Australia) Futures Limited SELL (14,595)
Ordinary
(11,492) (11,492) N/A
10/18/2021 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A
Ordinary
6,969,155 6,969,155 RefertoApp. B
10/18/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(650,709) (5,205,672) RefertoApp. B
10/18/2021 Merrill Lynch International Securities returned N/A
ADS
(18,168) (145,344) Refer to App. B
10/18/2021 Merrill Lynch International Securities borrowed N/A
ADS
668,877 5,351,016 Refer to App. B
10/18/2021 Merrill Lynch International Securities returned N/A
ADS
(461,752) (3,694,016) Refer to App. B
10/18/2021 BofA Securities, Inc. Securities returned N/A
ADS
(700) (5,600) Refer to App. B
10/18/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(200) (1,600) RefertoApp. B
10/19/2021 Merrill Lynch(Australia)FuturesLimited SELL (1) Ordinary (1) (1) N/A
10/19/2021 Merrill Lynch (Australia) Futures Limited BUY 14,557
Ordinary
11,401 11,401 N/A
10/19/2021 Merrill Lynch (Australia) Futures Limited SELL (14,479)
Ordinary
(11,401) (11,401) N/A
10/19/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A
Ordinary
2,789,651 2,789,651 Refer to App. B
10/19/2021 Merrill Lynch International Securities borrowed N/A
ADS
448,445 3,587,560 Refer to App. B
10/19/2021 BofASecurities,Inc. Securities borrowed N/A
ADS
600 4,800 RefertoApp. B
10/20/2021 Merrill Lynch(Australia)FuturesLimited BUY 36,275 Ordinary 28,552 28,552 N/A
10/20/2021 Merrill Lynch (Australia) Futures Limited SELL (374)
Ordinary
(293) (293) N/A
10/20/2021 Merrill Lynch (Australia) Futures Limited BUY 15,029
Ordinary
11,755 11,755 N/A
10/20/2021 Merrill Lynch (Australia) Futures Limited SELL (17,409)
Ordinary
(13,708) (13,708) N/A
10/20/2021 Merrill Lynch International Securities returned N/A
ADS
(207,125) (1,657,000) Refer to App. B
10/20/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(448,445) (3,587,560) RefertoApp. B
10/20/2021 Merrill Lynch International Securities borrowed N/A
ADS
655,570 5,244,560 RefertoApp. B
10/20/2021 Merrill Lynch International Securities returned N/A
ADS
(644,472) (5,155,776) Refer to App. B
10/20/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
100 800 Refer to App. B
10/20/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
300 2,400 Refer to App. B
10/21/2021 Merrill Lynch (Australia) Futures Limited BUY 373
Ordinary
294 294 N/A
10/21/2021 Merrill Lynch(Australia)FuturesLimited SELL (135) Ordinary (105) (105) N/A
10/21/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,359 Ordinary 2,645 2,645 N/A
10/21/2021 Merrill Lynch (Australia) Futures Limited BUY 12,245
Ordinary
9,567 9,567 N/A
10/21/2021 Merrill Lynch (Australia) Futures Limited SELL (15,126)
Ordinary
(11,840) (11,840) N/A
10/21/2021 Merrill Lynch (Australia) Futures Limited SELL (12,277)
Ordinary
(9,667) (9,667) 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
10/21/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
10/21/2021 BofA Securities, Inc. Securities returned N/A
ADS
(300) (2,400) Refer to App. B
10/21/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(200) (1,600) RefertoApp. B
10/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 15,327
Ordinary
12,164 12,164 N/A
10/22/2021 Merrill Lynch (Australia) Futures Limited SELL (244)
Ordinary
(194) (194) N/A
10/22/2021 Merrill Lynch (Australia) Futures Limited BUY 3,496
Ordinary
2,742 2,742 N/A
10/22/2021 Merrill Lynch (Australia) Futures Limited SELL (10,756)
Ordinary
(8,403) (8,403) N/A
10/22/2021 Merrill Lynch (Australia) Futures Limited SELL (17,302)
Ordinary
(13,570) (13,570) N/A
10/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 7,212
Ordinary
5,661 5,661 N/A
10/22/2021 Merrill Lynch Markets (Australia)Pty. Limited Securities borrowed N/A
Ordinary
104,247 104,247 RefertoApp. B
10/22/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(3,263) (3,263) Refer to App. B
10/25/2021 Merrill Lynch (Australia) Futures Limited BUY 5,542
Ordinary
4,364 4,364 N/A
10/25/2021 Merrill Lynch (Australia) Futures Limited SELL (13,407)
Ordinary
(10,469) (10,469) N/A
10/25/2021 Merrill Lynch (Australia) Futures Limited SELL (5,564)
Ordinary
(4,364) (4,364) N/A
10/25/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(338) (338) RefertoApp. B
10/25/2021 Merrill Lynch International Securities borrowed N/A
ADS
464,922 3,719,376 RefertoApp. B
10/26/2021 Merrill Lynch (Australia) Futures Limited BUY 6,902
Ordinary
5,460 5,460 N/A
10/26/2021 Merrill Lynch (Australia) Futures Limited BUY 10,339
Ordinary
8,162 8,162 N/A
10/26/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(103,909) (103,909) Refer to App. B
10/26/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(491,339) (491,339) Refer to App. B
10/26/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(464,922) (3,719,376) RefertoApp. B
10/26/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(11,098) (88,784) RefertoApp. B
10/26/2021 Merrill Lynch International Securities borrowed N/A
ADS
476,020 3,808,160 Refer to App. B
10/26/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
10/27/2021 Merrill Lynch (Australia) Futures Limited SELL (24,418)
Ordinary
(19,151) (19,151) N/A
10/27/2021 Merrill Lynch (Australia) Futures Limited BUY 11,747
Ordinary
9,187 9,187 N/A
10/27/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,758 Ordinary 10,862 10,862 N/A
10/27/2021 Merrill Lynch(Australia)FuturesLimited SELL (16,636) Ordinary (13,203) (13,203) N/A
10/27/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A
Ordinary
404,232 404,232 Refer to App. B
10/27/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(305,166) (305,166) Refer to App. B
10/27/2021 Merrill Lynch International Securities returned N/A
ADS
(80,410) (643,280) 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
10/27/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
10/28/2021 Merrill Lynch (Australia) Futures Limited BUY 1,281
Ordinary
1,017 1,017 N/A
10/28/2021 Merrill Lynch(Australia)FuturesLimited BUY 14,368 Ordinary 11,348 11,348 N/A
10/28/2021 Merrill Lynch(Australia)FuturesLimited SELL (5,608) Ordinary (4,440) (4,440) N/A
10/28/2021 Merrill Lynch (Australia) Futures Limited SELL (18,833)
Ordinary
(14,771) (14,771) N/A
10/28/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(82,497) (82,497) Refer to App. B
10/28/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(2,912) (2,912) Refer to App. B
10/28/2021 Merrill Lynch International Securities borrowed N/A
ADS
254,849 2,038,792 Refer to App. B
10/28/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(100) (800) RefertoApp. B
10/29/2021 Merrill Lynch(Australia)FuturesLimited BUY 21,431
Ordinary
17,000 17,000 N/A
10/29/2021 Merrill Lynch (Australia) Futures Limited SELL (339)
Ordinary
(265) (265) N/A
10/29/2021 Merrill Lynch (Australia) Futures Limited BUY 2,270
Ordinary
1,816 1,816 N/A
10/29/2021 Merrill Lynch (Australia) Futures Limited SELL (21,844)
Ordinary
(17,066) (17,066) N/A
10/29/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A
Ordinary
273,631 273,631 Refer to App. B
10/29/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(116,580) (116,580) RefertoApp. B
10/29/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(254,849) (2,038,792) RefertoApp. B
10/29/2021 Merrill Lynch International Securities returned N/A
ADS
(395,610) (3,164,880) Refer to App. B
10/29/2021 Merrill Lynch International Securities borrowed N/A
ADS
650,459 5,203,672 Refer to App. B
10/29/2021 Merrill Lynch International Securities returned N/A
ADS
(639,288) (5,114,304) Refer to App. B
10/29/2021 Merrill Lynch International Securities returned N/A
ADS
(11,171) (89,368) Refer to App. B
10/29/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(100) (800) RefertoApp. B
10/29/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(100) (800) RefertoApp. B
11/01/2021 Merrill Lynch (Australia) Futures Limited SELL (1,901)
Ordinary
(1,485) (1,485) N/A
11/01/2021 Merrill Lynch (Australia) Futures Limited BUY 11,304
Ordinary
8,711 8,711 N/A
11/01/2021 Merrill Lynch (Australia) Futures Limited BUY 33,110
Ordinary
26,038 26,038 N/A
11/01/2021 Merrill Lynch (Australia) Futures Limited BUY 7,228
Ordinary
5,782 5,782 N/A
11/01/2021 Merrill Lynch(Australia)FuturesLimited SELL (48,513) Ordinary (38,810) (38,810) N/A
11/01/2021 Merrill Lynch International Securities borrowed N/A
ADS
563,891 4,511,128 RefertoApp. B
11/01/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
11/02/2021 Merrill Lynch (Australia) Futures Limited SELL (549)
Ordinary
(439) (439) N/A
11/02/2021 Merrill Lynch (Australia) Futures Limited BUY 21,508
Ordinary
17,155 17,155 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
11/02/2021 Merrill Lynch (Australia) Futures Limited SELL (1,615)
Ordinary
(1,282) (1,282) N/A
11/02/2021 Merrill Lynch (Australia) Futures Limited BUY 3,821
Ordinary
3,057 3,057 N/A
11/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,447) Ordinary (1,152) (1,152) N/A
11/02/2021 Merrill Lynch(Australia)FuturesLimited SELL (24,016) Ordinary (19,060) (19,060) N/A
11/02/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A
Ordinary
189,946 189,946 Refer to App. B
11/02/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(89,346) (89,346) Refer to App. B
11/02/2021 Merrill Lynch International Securities borrowed N/A
ADS
91,617 732,936 Refer to App. B
11/02/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
11/02/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(100) (800) RefertoApp. B
11/03/2021 Merrill Lynch(Australia)FuturesLimited BUY 9,131
Ordinary
7,311 7,311 N/A
11/03/2021 Merrill Lynch (Australia) Futures Limited SELL (11,997)
Ordinary
(9,675) (9,675) N/A
11/03/2021 Merrill Lynch (Australia) Futures Limited BUY 2,931
Ordinary
2,364 2,364 N/A
11/03/2021 Merrill Lynch International Securities returned N/A
ADS
(91,617) (732,936) Refer to App. B
11/03/2021 Merrill Lynch International Securities returned N/A
ADS
(563,891) (4,511,128) Refer to App. B
11/03/2021 Merrill Lynch International Securities borrowed N/A
ADS
655,508 5,244,064 RefertoApp. B
11/03/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(200) (1,600) RefertoApp. B
11/04/2021 Merrill Lynch (Australia) Futures Limited BUY 947
Ordinary
746 746 N/A
11/04/2021 Merrill Lynch (Australia) Futures Limited BUY 1,844
Ordinary
1,427 1,427 N/A
11/04/2021 Merrill Lynch (Australia) Futures Limited BUY 38,194
Ordinary
29,748 29,748 N/A
11/04/2021 Merrill Lynch (Australia) Futures Limited SELL (205)
Ordinary
(158) (158) N/A
11/04/2021 Merrill Lynch(Australia)FuturesLimited SELL (40,528) Ordinary (31,175) (31,175) N/A
11/04/2021 Merrill Lynch International Securities borrowed N/A
ADS
178,912 1,431,296 RefertoApp. B
11/04/2021 Merrill Lynch International Securities returned N/A
ADS
(260,996) (2,087,968) Refer to App. B
11/04/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
100 800 Refer to App. B
11/04/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
300 2,400 Refer to App. B
11/05/2021 Merrill Lynch (Australia) Futures Limited BUY 2,960
Ordinary
2,368 2,368 N/A
11/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 311
Ordinary
249 249 N/A
11/05/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,430 Ordinary 10,584 10,584 N/A
11/05/2021 Merrill Lynch (Australia) Futures Limited SELL (14,434)
Ordinary
(11,547) (11,547) N/A
11/05/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities borrowed N/A
Ordinary
107,461 107,461 Refer to App. B
11/05/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(12,669) (12,669) 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
11/05/2021 Merrill Lynch International Securities returned N/A
ADS
(178,912) (1,431,296) Refer to App. B
11/05/2021 Merrill Lynch International Securities returned N/A
ADS
(349,422) (2,795,376) Refer to App. B
11/05/2021 Merrill Lynch International Securities borrowed N/A
ADS
528,334 4,226,672 RefertoApp. B
11/05/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(102,738) (821,904) RefertoApp. B
11/08/2021 Merrill Lynch (Australia) Futures Limited SELL (1,749)
Ordinary
(1,405) (1,405) N/A
11/08/2021 Merrill Lynch (Australia) Futures Limited BUY 28,625
Ordinary
22,818 22,818 N/A
11/08/2021 Merrill Lynch (Australia) Futures Limited SELL (726)
Ordinary
(588) (588) N/A
11/08/2021 Merrill Lynch (Australia) Futures Limited SELL (29,064)
Ordinary
(23,067) (23,067) N/A
11/08/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(911) (7,288) RefertoApp. B
11/08/2021 Merrill Lynch International Securities borrowed N/A
ADS
125,265 1,002,120 RefertoApp. B
11/08/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
11/08/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
11/09/2021 Merrill Lynch International SELL (18)
Ordinary
(14) (14) N/A
11/09/2021 Merrill Lynch International BUY 18
Ordinary
14 14 N/A
11/09/2021 Merrill Lynch(Australia)FuturesLimited BUY 15,283 Ordinary 12,118 12,118 N/A
11/09/2021 Merrill Lynch(Australia)FuturesLimited BUY 7,413 Ordinary 5,878 5,878 N/A
11/09/2021 Merrill Lynch (Australia) Futures Limited SELL (22,855)
Ordinary
(17,996) (17,996) N/A
11/09/2021 Merrill Lynch International Securities returned N/A
ADS
(125,265) (1,002,120) Refer to App. B
11/09/2021 Merrill Lynch International Securities returned N/A
ADS
(291,774) (2,334,192) Refer to App. B
11/09/2021 Merrill Lynch International Securities borrowed N/A
ADS
417,039 3,336,312 Refer to App. B
11/09/2021 Merrill Lynch International Securities borrowed N/A
ADS
73,483 587,864 RefertoApp. B
11/10/2021 Merrill Lynch(Australia)FuturesLimited BUY 17,763 Ordinary 14,299 14,299 N/A
11/10/2021 Merrill Lynch (Australia) Futures Limited BUY 7,367
Ordinary
5,917 5,917 N/A
11/10/2021 Merrill Lynch (Australia) Futures Limited SELL (23,726)
Ordinary
(19,057) (19,057) N/A
11/10/2021 Merrill Lynch International Securities returned N/A
ADS
(417,039) (3,336,312) Refer to App. B
11/10/2021 Merrill Lynch International Securities returned N/A
ADS
(73,483) (587,864) Refer to App. B
11/10/2021 Merrill Lynch International Securities borrowed N/A
ADS
490,522 3,924,176 RefertoApp. B
11/10/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(156,259) (1,250,072) RefertoApp. B
11/10/2021 BofA Securities, Inc. Securities returned N/A
ADS
(800) (6,400) Refer to App. B
11/11/2021 Merrill Lynch (Australia) Futures Limited SELL (720)
Ordinary
(574) (574) N/A
11/11/2021 Merrill Lynch (Australia) Futures Limited BUY 24,406
Ordinary
20,170 20,170 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
11/11/2021 Merrill Lynch (Australia) Futures Limited BUY 33,146
Ordinary
26,823 26,823 N/A
11/11/2021 Merrill Lynch (Australia) Futures Limited SELL (33,164)
Ordinary
(27,408) (27,408) N/A
11/12/2021 Merrill Lynch(Australia)FuturesLimited SELL (15,691) Ordinary (12,753) (12,753) N/A
11/12/2021 Merrill Lynch(Australia)FuturesLimited BUY 6,510 Ordinary 5,347 5,347 N/A
11/12/2021 Merrill Lynch (Australia) Futures Limited BUY 48,847
Ordinary
40,360 40,360 N/A
11/12/2021 Merrill Lynch (Australia) Futures Limited BUY 59,021
Ordinary
48,291 48,291 N/A
11/12/2021 Merrill Lynch (Australia) Futures Limited SELL (60,812)
Ordinary
(49,846) (49,846) N/A
11/12/2021 Merrill Lynch International Securities returned N/A
ADS
(197,340) (1,578,720) Refer to App. B
11/12/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(300) (2,400) RefertoApp. B
11/15/2021 Merrill Lynch(Australia)FuturesLimited BUY 28,065 Ordinary 22,493 22,493 N/A
11/15/2021 Merrill Lynch (Australia) Futures Limited BUY 7,788
Ordinary
6,264 6,264 N/A
11/15/2021 Merrill Lynch (Australia) Futures Limited SELL (6,510)
Ordinary
(5,271) (5,271) N/A
11/15/2021 Merrill Lynch (Australia) Futures Limited SELL (51,486)
Ordinary
(41,521) (41,521) N/A
11/15/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(100,228) (100,228) Refer to App. B
11/15/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(107,461) (107,461) RefertoApp. B
11/15/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(189,946) (189,946) RefertoApp. B
11/15/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(119,021) (119,021) Refer to App. B
11/15/2021 Merrill Lynch International Securities returned N/A
ADS
(6,444) (51,552) Refer to App. B
11/16/2021 Merrill Lynch (Australia) Futures Limited SELL (175)
Ordinary
(141) (141) N/A
11/16/2021 Merrill Lynch (Australia) Futures Limited BUY 15,828
Ordinary
12,884 12,884 N/A
11/16/2021 Merrill Lynch(Australia)FuturesLimited SELL (366) Ordinary (295) (295) N/A
11/16/2021 Merrill Lynch(Australia)FuturesLimited SELL (19,241) Ordinary (15,517) (15,517) N/A
11/16/2021 Merrill Lynch International Securities returned N/A
ADS
(130,479) (1,043,832) Refer to App. B
11/17/2021 Merrill Lynch (Australia) Futures Limited BUY 546
Ordinary
449 449 N/A
11/17/2021 Merrill Lynch (Australia) Futures Limited BUY 21,755
Ordinary
17,826 17,826 N/A
11/17/2021 Merrill Lynch (Australia) Futures Limited BUY 556
Ordinary
458 458 N/A
11/17/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(21,219) (21,219) RefertoApp. B
11/18/2021 Merrill Lynch(Australia)FuturesLimited SELL (22,215) Ordinary (18,284) (18,284) N/A
11/18/2021 Merrill Lynch (Australia) Futures Limited BUY 16,366
Ordinary
13,326 13,326 N/A
11/18/2021 Merrill Lynch (Australia) Futures Limited BUY 11,826
Ordinary
9,591 9,591 N/A
11/18/2021 Merrill Lynch (Australia) Futures Limited BUY 376
Ordinary
308 308 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
11/18/2021 Merrill Lynch (Australia) Futures Limited SELL (399)
Ordinary
(322) (322) N/A
11/18/2021 Merrill Lynch (Australia) Futures Limited SELL (28,619)
Ordinary
(23,080) (23,080) N/A
11/19/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,634
Ordinary
3,003 3,003 N/A
11/19/2021 Merrill Lynch(Australia)FuturesLimited SELL (1,544) Ordinary (1,260) (1,260) N/A
11/19/2021 Merrill Lynch (Australia) Futures Limited BUY 6,321
Ordinary
5,224 5,224 N/A
11/19/2021 Merrill Lynch (Australia) Futures Limited BUY 8,187
Ordinary
6,693 6,693 N/A
11/19/2021 Merrill Lynch (Australia) Futures Limited SELL (12,036)
Ordinary
(9,947) (9,947) N/A
11/22/2021 Merrill Lynch (Australia) Futures Limited BUY 19,335
Ordinary
16,032 16,032 N/A
11/22/2021 Merrill Lynch(Australia)FuturesLimited SELL (9,587) Ordinary (7,956) (7,956) N/A
11/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 13,831
Ordinary
11,500 11,500 N/A
11/22/2021 Merrill Lynch (Australia) Futures Limited SELL (54,934)
Ordinary
(45,778) (45,778) N/A
11/23/2021 Merrill Lynch (Australia) Futures Limited SELL (4,938)
Ordinary
(4,124) (4,124) N/A
11/23/2021 Merrill Lynch (Australia) Futures Limited BUY 49,026
Ordinary
40,820 40,820 N/A
11/23/2021 Merrill Lynch (Australia) Futures Limited BUY 24,155
Ordinary
20,384 20,384 N/A
11/23/2021 Merrill Lynch(Australia)FuturesLimited SELL (48,372) Ordinary (40,820) (40,820) N/A
11/24/2021 Merrill Lynch(Australia)FuturesLimited BUY 12,299 Ordinary 10,348 10,348 N/A
11/24/2021 Merrill Lynch (Australia) Futures Limited SELL (14,525)
Ordinary
(12,254) (12,254) N/A
11/24/2021 Merrill Lynch (Australia) Futures Limited SELL (12,366)
Ordinary
(10,348) (10,348) N/A
11/24/2021 Merrill Lynch (Australia) Futures Limited BUY 2,423
Ordinary
2,028 2,028 N/A
11/25/2021 Merrill Lynch (Australia) Futures Limited BUY 23,123
Ordinary
19,213 19,213 N/A
11/25/2021 Merrill Lynch(Australia)FuturesLimited SELL (7,150) Ordinary (5,945) (5,945) N/A
11/25/2021 Merrill Lynch(Australia)FuturesLimited BUY 3,008 Ordinary 2,507 2,507 N/A
11/25/2021 Merrill Lynch (Australia) Futures Limited SELL (23,056)
Ordinary
(19,213) (19,213) N/A
11/26/2021 Merrill Lynch (Australia) Futures Limited BUY 26,395
Ordinary
21,968 21,968 N/A
11/26/2021 Merrill Lynch (Australia) Futures Limited SELL (6,510)
Ordinary
(5,422) (5,422) N/A
11/26/2021 Merrill Lynch (Australia) Futures Limited SELL (33,142)
Ordinary
(27,390) (27,390) N/A
11/29/2021 Merrill Lynch(Australia)FuturesLimited BUY 21,788 Ordinary 18,172 18,172 N/A
11/29/2021 Merrill Lynch(Australia)FuturesLimited SELL (23,326) Ordinary (19,198) (19,198) N/A
11/29/2021 Merrill Lynch (Australia) Futures Limited BUY 1,231
Ordinary
1,026 1,026 N/A
11/30/2021 Merrill Lynch (Australia) Futures Limited BUY 167
Ordinary
137 137 N/A
11/30/2021 Merrill Lynch (Australia) Futures Limited BUY 16,995
Ordinary
14,022 14,022 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
11/30/2021 Merrill Lynch (Australia) Futures Limited SELL (16,756)
Ordinary
(14,022) (14,022) N/A
12/01/2021 Merrill Lynch (Australia) Futures Limited BUY 27,382
Ordinary
23,671 23,671 N/A
12/01/2021 Merrill Lynch(Australia)FuturesLimited BUY 5,476 Ordinary 4,762 4,762 N/A
12/01/2021 Merrill Lynch(Australia)FuturesLimited SELL (28,417) Ordinary (24,710) (24,710) N/A
12/02/2021 Merrill Lynch (Australia) Futures Limited SELL (3,661)
Ordinary
(3,240) (3,240) N/A
12/02/2021 Merrill Lynch (Australia) Futures Limited BUY 30,998
Ordinary
27,838 27,838 N/A
12/02/2021 Merrill Lynch (Australia) Futures Limited SELL (30,434)
Ordinary
(27,542) (27,542) N/A
12/03/2021 Merrill Lynch (Australia) Futures Limited BUY 2,266
Ordinary
2,032 2,032 N/A
12/03/2021 Merrill Lynch(Australia)FuturesLimited SELL (2,658) Ordinary (2,342) (2,342) N/A
12/03/2021 Merrill Lynch(Australia)FuturesLimited BUY 32,859 Ordinary 29,053 29,053 N/A
12/03/2021 Merrill Lynch (Australia) Futures Limited SELL (32,446)
Ordinary
(29,363) (29,363) N/A
12/06/2021 Merrill Lynch (Australia) Futures Limited SELL (327)
Ordinary
(296) (296) N/A
12/06/2021 Merrill Lynch (Australia) Futures Limited BUY 38,019
Ordinary
34,872 34,872 N/A
12/06/2021 Merrill Lynch (Australia) Futures Limited BUY 3,495
Ordinary
3,192 3,192 N/A
12/06/2021 Merrill Lynch(Australia)FuturesLimited SELL (41,680) Ordinary (38,064) (38,064) N/A
12/06/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(133,391) (133,391) RefertoApp. B
12/06/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(795,491) (795,491) Refer to App. B
12/06/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(2,315) (2,315) Refer to App. B
12/06/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
100 800 Refer to App. B
12/06/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
400 3,200 Refer to App. B
12/07/2021 Merrill Lynch(Australia)FuturesLimited BUY 26,272
Ordinary
23,377 23,377 N/A
12/07/2021 Merrill Lynch(Australia)FuturesLimited SELL (26,884) Ordinary (23,377) (23,377) N/A
12/07/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(45,371) (45,371) Refer to App. B
12/07/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(2,315) (2,315) Refer to App. B
12/07/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
12/07/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
12/08/2021 Merrill Lynch(Australia)FuturesLimited BUY 18,328 Ordinary 15,617 15,617 N/A
12/08/2021 Merrill Lynch(Australia)FuturesLimited SELL (17,676) Ordinary (15,238) (15,238) N/A
12/08/2021 BofA Securities, Inc. Securities returned N/A
ADS
(200) (1,600) Refer to App. B
12/09/2021 Merrill Lynch (Australia) Futures Limited BUY 48,978
Ordinary
40,070 40,070 N/A
12/09/2021 Merrill Lynch (Australia) Futures Limited SELL (472)
Ordinary
(379) (379) 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
12/09/2021 Merrill Lynch (Australia) Futures Limited SELL (1,201,297)
Ordinary
(1,000,000) (1,000,000) N/A
12/09/2021 Merrill Lynch (Australia) Futures Limited SELL (49,887)
Ordinary
(40,070) (40,070) N/A
12/09/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(3,072) (3,072) RefertoApp. B
12/09/2021 Merrill Lynch International Securities borrowed N/A
ADS
490,463 3,923,704 RefertoApp. B
12/09/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
900 7,200 Refer to App. B
12/10/2021 Merrill Lynch (Australia) Futures Limited BUY 30,563
Ordinary
24,461 24,461 N/A
12/10/2021 Merrill Lynch (Australia) Futures Limited SELL (31,922)
Ordinary
(24,461) (24,461) N/A
12/10/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(2,977) (2,977) Refer to App. B
12/10/2021 Merrill Lynch Markets (Australia)Pty. Limited Securitiesreturned N/A
Ordinary
(300) (300) RefertoApp. B
12/10/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(490,463) (3,923,704) RefertoApp. B
12/13/2021 Merrill Lynch (Australia) Futures Limited BUY 14,502
Ordinary
11,617 11,617 N/A
12/13/2021 Merrill Lynch (Australia) Futures Limited SELL (14,463)
Ordinary
(11,617) (11,617) N/A
12/13/2021 Merrill Lynch Markets (Australia) Pty. Limited Securities returned N/A
Ordinary
(50) (50) Refer to App. B
12/13/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
100 800 Refer to App. B
12/14/2021 Merrill Lynch(Australia)FuturesLimited BUY 20,121
Ordinary
15,977 15,977 N/A
12/14/2021 Merrill Lynch(Australia)FuturesLimited SELL (20,371) Ordinary (15,977) (15,977) N/A
12/14/2021 Merrill Lynch International Securities borrowed N/A
ADS
382,141 3,057,128 Refer to App. B
12/15/2021 Merrill Lynch (Australia) Futures Limited BUY 2,588
Ordinary
2,139 2,139 N/A
12/15/2021 Merrill Lynch (Australia) Futures Limited BUY 37,409
Ordinary
30,120 30,120 N/A
12/15/2021 Merrill Lynch (Australia) Futures Limited SELL (52,467)
Ordinary
(43,361) (43,361) N/A
12/15/2021 Merrill Lynch(Australia)FuturesLimited BUY 14,862
Ordinary
12,209 12,209 N/A
12/15/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(174,049) (1,392,392) RefertoApp. B
12/15/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
12/15/2021 BofA Securities, Inc. Securities returned N/A
ADS
(400) (3,200) Refer to App. B
12/16/2021 Merrill Lynch International SELL (30)
Ordinary
(24) (24) N/A
12/16/2021 Merrill Lynch International BUY 30
Ordinary
24 24 N/A
12/16/2021 Merrill Lynch(Australia)FuturesLimited BUY 1
Ordinary
1 1 N/A
12/16/2021 Merrill Lynch(Australia)FuturesLimited BUY 12,372
Ordinary
10,046 10,046 N/A
12/16/2021 Merrill Lynch (Australia) Futures Limited SELL (12,306)
Ordinary
(10,046) (10,046) N/A
12/16/2021 Merrill Lynch International Securities borrowed N/A
ADS
176,416 1,411,328 Refer to App. B
12/16/2021 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
12/17/2021 Merrill Lynch (Australia) Futures Limited SELL (15,624)
Ordinary
(12,065) (12,065) N/A
12/17/2021 Merrill Lynch (Australia) Futures Limited BUY 15,265
Ordinary
12,065 12,065 N/A
12/17/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(208,092) (1,664,736) RefertoApp. B
12/17/2021 Merrill Lynch International Securitiesreturned N/A
ADS
(176,416) (1,411,328) RefertoApp. B
12/17/2021 Merrill Lynch International Securities borrowed N/A
ADS
384,508 3,076,064 Refer to App. B
12/17/2021 BofA Securities, Inc. Securities returned N/A
ADS
(400) (3,200) Refer to App. B
12/20/2021 Merrill Lynch (Australia) Futures Limited BUY 9,306
Ordinary
7,288 7,288 N/A
12/20/2021 Merrill Lynch (Australia) Futures Limited SELL (337)
Ordinary
(264) (264) N/A
12/20/2021 Merrill Lynch(Australia)FuturesLimited BUY 15,379 Ordinary 11,974 11,974 N/A
12/20/2021 Merrill Lynch(Australia)FuturesLimited SELL (16,343) Ordinary (12,818) (12,818) N/A
12/20/2021 Merrill Lynch International Securities returned N/A
ADS
(6,444) (51,552) Refer to App. B
12/21/2021 Merrill Lynch (Australia) Futures Limited BUY 10,892
Ordinary
8,558 8,558 N/A
12/21/2021 Merrill Lynch (Australia) Futures Limited SELL (10,869)
Ordinary
(8,558) (8,558) N/A
12/21/2021 Merrill Lynch International Securities returned N/A
ADS
(334,952) (2,679,616) Refer to App. B
12/22/2021 Merrill Lynch(Australia)FuturesLimited BUY 21,135 Ordinary 16,652 16,652 N/A
12/22/2021 Merrill Lynch(Australia)FuturesLimited SELL (27,085) Ordinary (21,160) (21,160) N/A
12/22/2021 Merrill Lynch (Australia) Futures Limited SELL (590)
Ordinary
(461) (461) N/A
12/22/2021 Merrill Lynch International Securities returned N/A
ADS
(43,112) (344,896) Refer to App. B
12/23/2021 Merrill Lynch International BUY 38
Ordinary
29 29 N/A
12/23/2021 Merrill Lynch International SELL (38)
Ordinary
(29) (29) N/A
12/23/2021 Merrill Lynch(Australia)FuturesLimited BUY 18,072
Ordinary
14,057 14,057 N/A
12/23/2021 Merrill Lynch(Australia)FuturesLimited SELL (21,207) Ordinary (16,376) (16,376) N/A
12/23/2021 Merrill Lynch (Australia) Futures Limited BUY 427
Ordinary
330 330 N/A
12/24/2021 Merrill Lynch (Australia) Futures Limited BUY 17,731
Ordinary
13,510 13,510 N/A
12/24/2021 Merrill Lynch (Australia) Futures Limited SELL (17,901)
Ordinary
(13,510) (13,510) N/A
12/27/2021 BofA Securities, Inc. Securities borrowed N/A
ADS
100 800 Refer to App. B
12/27/2021 BofASecurities,Inc. Securities borrowed N/A
ADS
200 1,600 RefertoApp. B
12/28/2021 BofASecurities,Inc. Securitiesreturned N/A
ADS
(200) (1,600) RefertoApp. B
12/28/2021 BofA Securities, Inc. Securities returned N/A
ADS
(100) (800) Refer to App. B
12/29/2021 Merrill Lynch (Australia) Futures Limited BUY 14,019
Ordinary
10,541 10,541 N/A
12/29/2021 Merrill Lynch (Australia) Futures Limited BUY 327
Ordinary
247 247 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
12/29/2021 Merrill Lynch (Australia) Futures Limited SELL (13,967)
Ordinary
(10,541) (10,541) N/A
12/30/2021 Merrill Lynch (Australia) Futures Limited SELL (437)
Ordinary
(330) (330) N/A
12/30/2021 Merrill Lynch(Australia)FuturesLimited SELL (4,899) Ordinary (3,703) (3,703) N/A
12/30/2021 Merrill Lynch(Australia)FuturesLimited BUY 5,181
Ordinary
3,985 3,985 N/A
12/30/2021 Merrill Lynch (Australia) Futures Limited SELL (336)
Ordinary
(247) (247) N/A
12/30/2021 Merrill Lynch (Australia) Futures Limited SELL (10,943)
Ordinary
(8,046) (8,046) N/A
12/30/2021 Merrill Lynch (Australia) Futures Limited BUY 10,383
Ordinary
7,764 7,764 N/A
12/31/2021 Merrill Lynch (Australia) Futures Limited BUY 6,437
Ordinary
4,900 4,900 N/A
12/31/2021 Merrill Lynch(Australia)FuturesLimited BUY 8,942
Ordinary
6,905 6,905 N/A
12/31/2021 Merrill Lynch(Australia)FuturesLimited SELL (12,940) Ordinary (9,992) (9,992) N/A
01/04/2022 Merrill Lynch (Australia) Futures Limited BUY 1,139
Ordinary
876 876 N/A
01/04/2022 Merrill Lynch (Australia) Futures Limited BUY 12,812
Ordinary
9,717 9,717 N/A
01/04/2022 Merrill Lynch (Australia) Futures Limited SELL (14,389)
Ordinary
(10,698) (10,698) N/A
01/04/2022 Merrill Lynch (Australia) Futures Limited SELL (2,243)
Ordinary
(1,708) (1,708) N/A
01/05/2022 Merrill Lynch(Australia)FuturesLimited BUY 19,095 Ordinary 14,636 14,636 N/A
01/05/2022 Merrill Lynch(Australia)FuturesLimited BUY 9,919 Ordinary 7,749 7,749 N/A
01/05/2022 Merrill Lynch (Australia) Futures Limited SELL (24,471)
Ordinary
(19,118) (19,118) N/A
01/06/2022 Merrill Lynch (Australia) Futures Limited BUY 9,927
Ordinary
7,687 7,687 N/A
01/06/2022 Merrill Lynch (Australia) Futures Limited SELL (9,878)
Ordinary
(7,687) (7,687) N/A
01/06/2022 Merrill Lynch (Australia) Futures Limited SELL (3,010)
Ordinary
(2,327) (2,327) N/A
01/06/2022 Merrill Lynch(Australia)FuturesLimited BUY 891
Ordinary
693 693 N/A
01/07/2022 Merrill Lynch(Australia)FuturesLimited BUY 6,046 Ordinary 4,655 4,655 N/A
01/07/2022 Merrill Lynch (Australia) Futures Limited BUY 10,727
Ordinary
8,298 8,298 N/A
01/07/2022 Merrill Lynch (Australia) Futures Limited SELL (18,670)
Ordinary
(14,586) (14,586) N/A
01/10/2022 Merrill Lynch (Australia) Futures Limited BUY 6,072
Ordinary
4,744 4,744 N/A
01/10/2022 Merrill Lynch (Australia) Futures Limited BUY 16,238
Ordinary
12,571 12,571 N/A
01/10/2022 Merrill Lynch(Australia)FuturesLimited SELL (17,711) Ordinary (13,624) (13,624) N/A
01/11/2022 Merrill Lynch(Australia)FuturesLimited BUY 11,242
Ordinary
8,737 8,737 N/A
01/11/2022 Merrill Lynch (Australia) Futures Limited SELL (4,798)
Ordinary
(3,691) (3,691) N/A
01/11/2022 Merrill Lynch (Australia) Futures Limited SELL (11,183)
Ordinary
(8,737) (8,737) N/A
01/11/2022 Merrill Lynch International Securities borrowed N/A
ADS
45,789 366,312 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
01/12/2022 Merrill Lynch (Australia) Futures Limited SELL (5,824)
Ordinary
(4,475) (4,475) N/A
01/12/2022 Merrill Lynch (Australia) Futures Limited BUY 10,644
Ordinary
8,165 8,165 N/A
01/12/2022 Merrill Lynch(Australia)FuturesLimited BUY 6,487
Ordinary
5,068 5,068 N/A
01/12/2022 Merrill Lynch(Australia)FuturesLimited SELL (11,197) Ordinary (8,613) (8,613) N/A
01/12/2022 Merrill Lynch International Securities borrowed N/A
ADS
268,427 2,147,416 Refer to App. 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 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 SSW
MARKET MAKING GMBH
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 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-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 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-10: Prescribed information

Appendix B-10: 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 B-11: 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-12: 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-13: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and STATE STREET BANK & TRUST COMPANY
Holder of voting rights Securities borrower. Securities lender mayinstruct the registered holder to vote on securities.
Are there any
restrictions on voting
rights?
No
Ifyes, detail N/A
Scheduled return date
(if any)
On recall of the securities loan by the securities lender.
Does the borrower
have the right to return
**early? **
Yes
Ifyes, detail Securities borrower will have right to return assets at anytime.
Does the lender have
the right to recall
**early? **
Yes
Ifyes, detail Securities lender will have right to recall assets at anytime.
Will the securities be
returned on
settlement?
Yes
If yes, detail any
exceptions
N/A

Appendix B-14: Prescribed information

Type of agreement Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and THE NORTHERN TRUST COMPANY
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 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
BofA Securities, Inc. United States 5793661
NB Holdings Corporation United States 2361372
Bank of America Corporation United States N/A628