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Opthea Ltd — Major Shareholding Notification 2023
Sep 3, 2023
32698_rns_2023-09-03_55e724e1-845a-4e3c-9533-beeba4af67f4.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)
N/A
The holder became a substantial holder on: 30 August 2023
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 | 13,037,096 | 13,037,096 | 2.79% |
| American Depository Shares | 1,298,564 | 10,388,512 | 2.22% |
| Total Voting Power | 23,425,608 | 5.01% |
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 3,185,372 |
| Merrill Lynch Markets (Australia) Pty. Limited |
Borrowing of securities pursuant to Prime Brokerage / Stock Borrow Loan Agreements (see Appendix B), with power to control the voting and/or disposal of borrowed securities. |
Ordinary 9,701,724 |
| 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 150,000 |
| Merrill Lynch International | Borrowing of securities pursuant to a Prime Brokerage Agreement (see Appendix B), with power to control the voting and/or disposal of borrowed securities. |
1,298,464 American Depository Shares representing 10,387,712 Ordinary Shares |
| 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. |
100 American Depository Shares representing 800 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 3,185,372 |
| Merrill Lynch Markets (Australia) Pty. Limited |
Merrill Lynch (Australia) Nominees Pty Ltd |
Merrill Lynch Markets (Australia) Pty. Limited |
Ordinary 9,701,724 |
| BofA Securities, Inc. | Merrill Lynch (Australia) Nominees Pty Ltd |
BofA Securities, Inc. | Ordinary 150,000 |
| Merrill Lynch International | Merrill Lynch International | 1,298,464 American Depository Shares representing 10,387,712 Ordinary Shares |
|
| BofA Securities, Inc. | BofA Securities, Inc. | 100 American Depository Shares representing 800 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) | Nature of association |
|---|---|
| Merrill Lynch (Australia) Futures Limited | Related body corporate |
| Merrill Lynch Markets (Australia) Pty. Limited | Related body corporate |
| Merrill Lynch International | Related body corporate |
| BofA Securities, Inc. | Related body corporate |
7. 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 Ltd | 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: Kelvin Kwok Capacity: Authorised signatory Sign Here: Date: 1 September 2023
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 |
|---|---|---|---|---|---|---|---|
5/1/2023 |
Merrill Lynch International |
Securities returned |
N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 5/2/2023 | Merrill Lynch International |
Securitiesreturned | N/A | American Depository Shares |
(7,144) |
(57,152) |
Refer to App. B |
| 5/2/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
700 | 5,600 | Refer to App. B |
| 5/3/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 5/4/2023 | Merrill Lynch International |
Securitiesreturned | N/A | American Depository Shares |
(7,144) |
(57,152) |
Refer to App. B |
| 5/4/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(300) | (2,400) | Refer to App. B |
| 5/5/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
8,225.70 | Ordinary | 11,751 |
11,751 |
N/A |
| 5/5/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
618,672 | 4,949,376 | Refer to App. B |
| 5/8/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(155.40) | Ordinary | (222) | (222) | N/A |
| 5/8/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(618,672) | (4,949,376) | Refer to App. B |
| 5/8/2023 | Merrill Lynch International |
Securitiesreturned | N/A | American Depository Shares |
(90,535) |
(724,280) |
Refer to App. B |
| 5/8/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
709,207 | 5,673,656 | Refer to App. B |
| 5/8/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 5/8/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(700) |
(5,600) |
Refer to App. B |
| 5/8/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 5/8/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 5/9/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 887,637 |
887,637 |
Refer to App. B |
| 5/9/2023 | Merrill Lynch International | Securitiesreturned | N/A | American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 5/9/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
400 | 3,200 | 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 |
|---|---|---|---|---|---|---|---|
5/10/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (4,064) | (4,064) | Refer to App. B |
| 5/11/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 863,300 | 863,300 | Refer to App. B |
| 5/11/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
25,490 | 203,920 | Refer to App. B |
| 5/11/2023 | BofA Securities, Inc. |
Securities returned | N/A |
American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 5/12/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 2,467,696 |
2,467,696 |
Refer to App. B |
| 5/12/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(702,063) | (5,616,504) | Refer to App. B |
| 5/12/2023 | Merrill Lynch International |
Securities returned | N/A |
American Depository Shares |
(25,490) |
(203,920) |
Refer to App. B |
| 5/12/2023 | Merrill Lynch International |
Securities borrowed |
N/A | American Depository Shares |
727,553 |
5,820,424 |
Refer to App. B |
| 5/12/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 5/12/2023 | BofA Securities, Inc. |
Securities borrowed |
N/A | American Depository Shares |
6,700 |
53,600 |
Refer to App. B |
| 5/12/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
200 | 1,600 | Refer to App. B |
| 5/15/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(488.43) | Ordinary | (729) | (729) | N/A |
| 5/15/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (512,842) | (512,842) | Refer to App. B |
| 5/15/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (632,312) | (632,312) | Refer to App. B |
| 5/15/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,126) | (4,126) | Refer to App. B |
| 5/15/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 5/15/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(200) |
(1,600) |
Refer to App. B |
| 5/15/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(6,500) |
(52,000) |
Refer to App. B |
| 5/16/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(3,043.00) | Ordinary | (4,475) | (4,475) | N/A |
| 5/16/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(950.13) | Ordinary | (1,377) | (1,377) | N/A |
| 5/16/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 1,838,360 | 1,838,360 | 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 |
|---|---|---|---|---|---|---|---|
5/16/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (140,144) | (140,144) | Refer to App. B |
| 5/16/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (821,972) | (821,972) | Refer to App. B |
| 5/16/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (130,308) | (130,308) | Refer to App. B |
| 5/17/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(167.01) | Ordinary | (263) | (263) | N/A |
| 5/17/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 388,000 | 388,000 | Refer to App. B |
| 5/17/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) | (4,064) | Refer to App. B |
| 5/17/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 5/17/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(500) |
(4,000) |
Refer to App. B |
| 5/17/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 5/17/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(200) |
(1,600) |
Refer to App. B |
| 5/18/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(126.10) | Ordinary | (194) |
(194) |
N/A |
| 5/18/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(3,098.79) | Ordinary | (4,491) | (4,491) | N/A |
| 5/18/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 739,140 | 739,140 | Refer to App. B |
| 5/18/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (343,204) | (343,204) | Refer to App. B |
| 5/18/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
100 | 800 | Refer to App. B |
| 5/19/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) | (4,064) | Refer to App. B |
| 5/19/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 5/19/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 5/19/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 5/22/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) |
(4,064) |
Refer to App. B |
| 5/23/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) | (4,064) | 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 |
|---|---|---|---|---|---|---|---|
5/23/2023 |
Merrill Lynch International |
Securities returned |
N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 5/24/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) |
(4,064) |
Refer to App. B |
| 5/24/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 5/24/2023 | BofA Securities, Inc. |
Securities returned | N/A |
American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 5/25/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) |
(4,064) |
Refer to App. B |
| 5/25/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
100 | 800 | Refer to App. B |
| 5/26/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) | (4,064) | Refer to App. B |
| 5/26/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) | (800) | Refer to App. B |
| 5/29/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 485,000 | 485,000 | Refer to App. B |
| 5/29/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,245) | (4,245) | Refer to App. B |
| 5/30/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (16,167) | (16,167) | Refer to App. B |
| 5/30/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (341,212) | (341,212) | Refer to App. B |
| 5/31/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 460,170 | 460,170 | Refer to App. B |
| 5/31/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (143,788) | (143,788) | Refer to App. B |
| 5/31/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (360,277) | (360,277) | Refer to App. B |
| 5/31/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 6/1/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) |
(4,064) |
Refer to App. B |
| 6/1/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
33,571 | 268,568 | Refer to App. B |
| 6/1/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
400 | 3,200 | Refer to App. B |
| 6/2/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 2,306,459 | 2,306,459 | 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 |
|---|---|---|---|---|---|---|---|
6/2/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (18,798) | (18,798) | Refer to App. B |
| 6/2/2023 | Merrill Lynch International | Securitiesreturned | N/A | American Depository Shares |
(33,571) | (268,568) | Refer to App. B |
| 6/2/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(698,977) | (5,591,816) | Refer to App. B |
| 6/2/2023 | Merrill Lynch International |
Securities borrowed |
N/A | American Depository Shares |
732,548 |
5,860,384 |
Refer to App. B |
| 6/2/2023 | Merrill Lynch International |
Securitiesreturned | N/A | American Depository Shares |
(4,207) | (33,656) | Refer to App. B |
| 6/2/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(4,207) | (33,656) | Refer to App. B |
| 6/2/2023 | BofA Securities, Inc. |
Securities borrowed |
N/A | American Depository Shares |
500 |
4,000 |
Refer to App. B |
| 6/5/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
375.84 | Ordinary | 648 | 648 | N/A |
| 6/5/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (345,789) | (345,789) | Refer to App. B |
| 6/5/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (460,170) | (460,170) | Refer to App. B |
| 6/5/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (517,200) | (517,200) | Refer to App. B |
| 6/5/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (221,940) | (221,940) | Refer to App. B |
| 6/5/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (887,637) | (887,637) | Refer to App. B |
| 6/5/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (615,131) | (615,131) | Refer to App. B |
| 6/5/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
300 | 2,400 | Refer to App. B |
| 6/6/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 1,693,265 | 1,693,265 | Refer to App. B |
| 6/6/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (357,648) | (357,648) | Refer to App. B |
| 6/6/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (1,339,681) | (1,339,681) | Refer to App. B |
| 6/6/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
100 | 800 | Refer to App. B |
| 6/7/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) | (4,064) | 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 |
|---|---|---|---|---|---|---|---|
6/7/2023 |
BofA Securities, Inc. |
Securities returned |
N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 6/8/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(372.60) | Ordinary | (648) |
(648) |
N/A |
| 6/8/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) | (4,064) | Refer to App. B |
| 6/8/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
100 | 800 | Refer to App. B |
| 6/9/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) | (800) | Refer to App. B |
| 6/12/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(300) | (2,400) | Refer to App. B |
| 6/13/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,063) |
(4,063) |
Refer to App. B |
| 6/13/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,064) | (4,064) | Refer to App. B |
| 6/14/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,705) | (4,705) | Refer to App. B |
| 6/14/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 6/14/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
100 |
800 |
Refer to App. B |
| 6/15/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (698) | (698) | Refer to App. B |
| 6/15/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (3,366) | (3,366) | Refer to App. B |
| 6/16/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (293) | (293) | Refer to App. B |
| 6/16/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (13,609) | (13,609) | Refer to App. B |
| 6/16/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 6/16/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(300) |
(2,400) |
Refer to App. B |
| 6/16/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 6/16/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 6/19/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (3,366) |
(3,366) |
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 |
|---|---|---|---|---|---|---|---|
6/20/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (4,266) | (4,266) | Refer to App. B |
| 6/20/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
700 | 5,600 | Refer to App. B |
| 6/21/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (3,366) | (3,366) | Refer to App. B |
| 6/21/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(352,063) | (2,816,504) | Refer to App. B |
| 6/21/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
100 |
800 |
Refer to App. B |
| 6/22/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 1,745,634 | 1,745,634 | Refer to App. B |
| 6/22/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(364,927) | (2,919,416) | Refer to App. B |
| 6/22/2023 | BofASecurities,Inc. |
Securitiesreturned | N/A | American Depository Shares |
(400) |
(3,200) |
Refer to App. B |
| 6/22/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(300) | (2,400) | Refer to App. B |
| 6/22/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 6/22/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 6/23/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 6/27/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
7,898.54 | Ordinary | 14,457 | 14,457 | N/A |
| 6/27/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
1,217.70 | Ordinary | 2,240 | 2,240 | N/A |
| 6/27/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
879.88 | Ordinary | 1,630 | 1,630 | N/A |
| 6/27/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
2,095.76 | Ordinary | 3,896 | 3,896 | N/A |
| 6/27/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
2,971.39 | Ordinary | 5,554 | 5,554 | N/A |
| 6/27/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (1,278) | (1,278) | Refer to App. B |
| 6/28/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
100 | 800 | Refer to App. B |
| 6/29/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (1,278) | (1,278) | Refer to App. B |
| 6/29/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
400 | 3,200 | Refer to App. B |
| 6/30/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
4,726.63 | Ordinary | 8,672 | 8,672 | 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 |
|---|---|---|---|---|---|---|---|
6/30/2023 |
Merrill Lynch(Australia)Futures Limited |
BUY |
182.95 |
Ordinary | 334 | 334 | N/A |
| 6/30/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
1,039.50 | Ordinary | 1,890 | 1,890 | N/A |
| 6/30/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
1,670.90 | Ordinary | 3,038 | 3,038 | N/A |
| 6/30/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (1,278) | (1,278) | Refer to App. B |
| 7/4/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (1,278) | (1,278) | Refer to App. B |
| 7/5/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(7,910.39) | Ordinary | (13,168) | (13,168) | N/A |
| 7/5/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(314.15) | Ordinary | (515) | (515) | N/A |
| 7/5/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(1,036.53) | Ordinary | (1,724) | (1,724) | N/A |
| 7/5/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(1,743.01) | Ordinary | (2,879) | (2,879) | N/A |
| 7/5/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(3,084.84) | Ordinary | (5,016) | (5,016) | N/A |
| 7/5/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (2,190) | (2,190) | Refer to App. B |
| 7/5/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(400) | (3,200) | Refer to App. B |
| 7/5/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 7/6/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(5,288.88) | Ordinary | (9,093) |
(9,093) |
N/A |
| 7/6/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(1,081.58) | Ordinary | (1,881) | (1,881) | N/A |
| 7/6/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(524.98) | Ordinary | (913) | (913) | N/A |
| 7/6/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(1,435.78) | Ordinary | (2,497) | (2,497) | N/A |
| 7/6/2023 | Merrill Lynch(Australia)Futures Limited | SELL |
(2,314.38) | Ordinary | (4,025) | (4,025) | N/A |
| 7/6/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 389,564 | 389,564 | Refer to App. B |
| 7/6/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (1,278) | (1,278) | Refer to App. B |
| 7/6/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
300 | 2,400 | Refer to App. B |
| 7/7/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (326,996) | (326,996) | Refer to App. B |
| 7/7/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
1,000 | 8,000 | Refer to App. B |
| 7/10/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 388,679 | 388,679 | 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 |
|---|---|---|---|---|---|---|---|
7/10/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (62,568) | (62,568) | Refer to App. B |
| 7/10/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (330,377) | (330,377) | Refer to App. B |
| 7/11/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,266) | (4,266) | Refer to App. B |
| 7/11/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
400 | 3,200 | Refer to App. B |
| 7/11/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
400 | 3,200 | Refer to App. B |
| 7/11/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(400) | (3,200) | Refer to App. B |
| 7/12/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (6,302) |
(6,302) |
Refer to App. B |
| 7/13/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (700) | (700) | Refer to App. B |
| 7/13/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (4,013) | (4,013) | Refer to App. B |
| 7/13/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
706,491 | 5,651,928 | Refer to App. B |
| 7/13/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
800 | 6,400 | Refer to App. B |
| 7/14/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 406,961 | 406,961 | Refer to App. B |
| 7/17/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(706,491) | (5,651,928) | Refer to App. B |
| 7/17/2023 | BofA Securities, Inc. |
Securities borrowed |
N/A | American Depository Shares |
200 |
1,600 |
Refer to App. B |
| 7/18/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 7/18/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(600) | (4,800) | Refer to App. B |
| 7/18/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(800) |
(6,400) |
Refer to App. B |
| 7/18/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(300) |
(2,400) |
Refer to App. B |
| 7/18/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(400) | (3,200) | Refer to App. B |
| 7/18/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(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 |
|---|---|---|---|---|---|---|---|
7/19/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (1,801) | (1,801) | Refer to App. B |
| 7/19/2023 | BofASecurities,Inc. | Securities borrowed |
N/A | American Depository Shares |
800 | 6,400 | Refer to App. B |
| 7/20/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (1,801) | (1,801) | Refer to App. B |
| 7/20/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
266,843 | 2,134,744 | Refer to App. B |
| 7/20/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
300 | 2,400 | Refer to App. B |
| 7/21/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (858) | (858) | Refer to App. B |
| 7/21/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 7/21/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
1,500 |
12,000 |
Refer to App. B |
| 7/24/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
203,000.00 | Ordinary | 350,000 | 350,000 | N/A |
| 7/24/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(259,699) | (2,077,592) | Refer to App. B |
| 7/24/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
100 |
800 |
Refer to App. B |
| 7/25/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 16,535 | 16,535 | Refer to App. B |
| 7/25/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 512 | 512 | Refer to App. B |
| 7/26/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
3,700 | 29,600 | Refer to App. B |
| 7/27/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
140,000.00 | Ordinary | 250,000 | 250,000 | N/A |
| 7/27/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (374) | (374) | Refer to App. B |
| 7/27/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
600 | 4,800 | Refer to App. B |
| 7/28/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
643,260 | 5,146,080 | Refer to App. B |
| 7/28/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) | (800) | Refer to App. B |
| 7/28/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(600) |
(4,800) |
Refer to App. B |
| 7/31/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (138) |
(138) |
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 |
|---|---|---|---|---|---|---|---|
7/31/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (527) | (527) | Refer to App. B |
| 7/31/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
82,529 |
660,232 |
Refer to App. B |
| 7/31/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(1,100) | (8,800) | Refer to App. B |
| 8/1/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(82,529) |
(660,232) |
Refer to App. B |
| 8/1/2023 | Merrill Lynch International |
Securitiesreturned | N/A | American Depository Shares |
(643,260) |
(5,146,080) |
Refer to App. B |
| 8/1/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
725,789 | 5,806,312 | Refer to App. B |
| 8/1/2023 | BofA Securities, Inc. |
Securities returned | N/A |
American Depository Shares |
(300) | (2,400) | Refer to App. B |
| 8/2/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(1,200) |
(9,600) |
Refer to App. B |
| 8/3/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 8/3/2023 | BofA Securities, Inc. |
Securities borrowed |
N/A | American Depository Shares |
300 |
2,400 |
Refer to App. B |
| 8/4/2023 | Merrill Lynch International | Securitiesreturned | N/A | American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 8/7/2023 | Merrill Lynch International | Securitiesreturned | N/A | American Depository Shares |
(379,629) | (3,037,032) | Refer to App. B |
| 8/7/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(331,872) | (2,654,976) | Refer to App. B |
| 8/7/2023 | BofA Securities, Inc. |
Securities returned | N/A |
American Depository Shares |
(800) |
(6,400) |
Refer to App. B |
| 8/7/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(300) |
(2,400) |
Refer to App. B |
| 8/8/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 8/8/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 8/8/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 8/9/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
721,041 | 5,768,328 | Refer to App. B |
| 8/9/2023 | BofA Securities, Inc. |
Securities returned | N/A |
American Depository Shares |
(200) | (1,600) | 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 |
|---|---|---|---|---|---|---|---|
8/10/2023 |
Merrill Lynch International |
Securities returned |
N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 8/10/2023 | BofASecurities,Inc. |
Securitiesreturned | N/A | American Depository Shares |
(600) |
(4,800) |
Refer to App. B |
| 8/11/2023 | Merrill Lynch(Australia)Futures Limited | BUY |
163,500.00 | Ordinary | 300,000 | 300,000 | N/A |
| 8/11/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 8/11/2023 | BofASecurities,Inc. |
Securitiesreturned | N/A | American Depository Shares |
(400) |
(3,200) |
Refer to App. B |
| 8/14/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(7,144) | (57,152) | Refer to App. B |
| 8/15/2023 | Merrill Lynch International |
Securities returned | N/A |
American Depository Shares |
(7,144) |
(57,152) |
Refer to App. B |
| 8/15/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
100 |
800 |
Refer to App. B |
| 8/16/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(272,546) | (2,180,368) | Refer to App. B |
| 8/16/2023 | BofA Securities, Inc. |
Securities borrowed |
N/A | American Depository Shares |
300 |
2,400 |
Refer to App. B |
| 8/17/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
205,402 | 1,643,216 | Refer to App. B |
| 8/17/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(100) | (800) | Refer to App. B |
| 8/17/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(500) | (4,000) | Refer to App. B |
| 8/17/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(500) |
(4,000) |
Refer to App. B |
| 8/18/2023 | Merrill Lynch International | Securitiesreturned | N/A | American Depository Shares |
(205,402) |
(1,643,216) |
Refer to App. B |
| 8/18/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
625,321 | 5,002,568 | Refer to App. B |
| 8/18/2023 | Merrill Lynch International |
Securities returned | N/A |
American Depository Shares |
(419,919) | (3,359,352) | Refer to App. B |
| 8/18/2023 | BofASecurities,Inc. |
Securities borrowed |
N/A | American Depository Shares |
1,000 |
8,000 |
Refer to App. B |
| 8/21/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (72,954) | (72,954) | Refer to App. B |
| 8/21/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary |
(17,103) |
(17,103) |
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 |
|---|---|---|---|---|---|---|---|
8/21/2023 |
Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned |
N/A |
Ordinary | (72,489) | (72,489) | Refer to App. B |
| 8/21/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securitiesreturned | N/A | Ordinary |
(16,008) |
(16,008) |
Refer to App. B |
| 8/21/2023 | Merrill Lynch International | Securities returned | N/A |
American Depository Shares |
(625,321) | (5,002,568) | Refer to App. B |
| 8/21/2023 | BofA Securities, Inc. |
Securities returned | N/A |
American Depository Shares |
(300) |
(2,400) |
Refer to App. B |
| 8/21/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(300) |
(2,400) |
Refer to App. B |
| 8/23/2023 | BofA Securities, Inc. | Securities borrowed |
N/A | American Depository Shares |
500 | 4,000 | Refer to App. B |
| 8/24/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (316,190) | (316,190) | Refer to App. B |
| 8/24/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securitiesreturned | N/A | Ordinary |
(406,961) |
(406,961) |
Refer to App. B |
| 8/24/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary | (2,306,459) | (2,306,459) | Refer to App. B |
| 8/24/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities returned | N/A |
Ordinary |
(1,693,265) |
(1,693,265) |
Refer to App. B |
| 8/24/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securitiesreturned | N/A | Ordinary |
(1,745,634) |
(1,745,634) |
Refer to App. B |
| 8/24/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securitiesreturned | N/A | Ordinary | (2,467,696) | (2,467,696) | Refer to App. B |
| 8/24/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(200) | (1,600) | Refer to App. B |
| 8/25/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(100) |
(800) |
Refer to App. B |
| 8/25/2023 | BofASecurities,Inc. | Securitiesreturned | N/A | American Depository Shares |
(300) |
(2,400) |
Refer to App. B |
| 8/25/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(500) | (4,000) | Refer to App. B |
| 8/28/2023 | Merrill Lynch International | Securities borrowed |
N/A | American Depository Shares |
721,041 |
5,768,328 |
Refer to App. B |
| 8/29/2023 | Merrill Lynch Markets (Australia) Pty. Limited |
Securities borrowed |
N/A | Ordinary | 8,755,024 | 8,755,024 | Refer to App. B |
| 8/29/2023 | BofA Securities, Inc. | Securities returned | N/A |
American Depository Shares |
(600) | (4,800) | Refer to App. B |
Appendix B-1: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Virtu Financial Asia Pty Ltd |
| 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-2: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Amazon Market Neutral Fund |
| 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-3: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Zambezi Absolute Return Fund |
| 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-4: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee Of Tasman Market Neutral Fund |
| 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-5: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee Of Regal Australian Long Short Equity Fund |
| 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-6: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee Of Atlantic Absolute Return Fund |
| 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-7: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Citadel Securites Llc |
| 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-8: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | BofA Securities Europe SA and Ssw-Trading Gmbh |
| 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-9: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Absolute Return Master Fund |
| Holder of voting rights | Securities borrower. Securities lender 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
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Investment Fund |
| 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 | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee For Regal Tactical Opportunities Fund |
| 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 | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Alfred Street Nominees Pty Limited As Trustee Of Man Caledonia Investment Trust |
| 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 | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee For Regal Emerging Companies Fund III |
| 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 | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee Of Regal Emerging Companies Opportunities Fund |
| 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-15: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee For Regal Australian Active Extension Trust |
| 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-16: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee For Regal Australian Small Companies Fund |
| 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-17: Prescribed information
| Type of agreement | International Prime Brokerage Agreement |
|---|---|
| Parties to agreement | Merrill Lynch International and Regal Funds Management Pty Limited As Trustee For Regal Australian Long Short Geared Equity Fund Ac |
| 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-18: 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-19: 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-20: 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. |
| Ae 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-21 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 C
| Appendix C | ||
|---|---|---|
| Related bodies corporate | Incorporated | ACN/Registration/Incorporation Number |
| Merrill Lynch International | United Kingdom | 2312079 |
| ML UK Capital Holdings Limited | United Kingdom | 4971231 |
| BofAML EMEA Holdings 2 Limited | United States | 119605 |
| Merrill Lynch (Australia) 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 |
| Bank of America Corporation | United States | N/A628 |
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