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Opthea Ltd Major Shareholding Notification 2023

Aug 2, 2023

32698_rns_2023-08-02_8a1c32c1-6be6-4a03-b68b-12a15d361783.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: 31 July 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 13,099,542 13,099,542 2.81%
American Depository Shares 1,308,712 10,469,696 2.24%
Total Voting Power 23,569,238 5.05%

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 2,885,372
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 10,061,459
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.		 Ordinary 2,711
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.		 1,303,212 American Depository
Shares representing
10,425,696 Ordinary Shares
Holder of relevant interest Nature of relevant interest (7) Class and number of securities
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.		 5,500 American Depository
Shares representing
44,000 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 2,885,372
Merrill Lynch Markets
(Australia) Pty. Limited		 Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch Markets
(Australia) Pty. Limited		 Ordinary 10,061,459
BofA Securities, Inc. Merrill Lynch (Australia)
Nominees Pty Ltd		 BofA Securities, Inc. Ordinary 150,000
Merrill Lynch International Merrill Lynch (Australia)
Nominees Pty Ltd		 Merrill Lynch International Ordinary 2,711
Merrill Lynch International Merrill Lynch International 1,303,212 American Depository
Shares representing
10,425,696 Ordinary Shares
BofA Securities, Inc. BofA Securities, Inc. 5,500 American Depository
Shares representing
44,000 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
BofA Securities Europe SA 51 rue La Boétie, 75008, Paris, France

SIGNATURE

Print Name:
Sign Here:		 Kelvin Kwok
Capacity:
Authorised signatory
Date:
2 August 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
03/31/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,581) (4,581) Refer to
App. B
04/03/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,758) (4,758) Refer to
App. B
04/03/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
04/04/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,935) (4,935) Refer to
App. B
04/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,858) (4,858) Refer to
App. B
04/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,757) (4,757) Refer to
App. B
04/10/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
04/14/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 5,214.06 Ordinary 7,865 7,865 N/A
04/14/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 724.95 Ordinary 1,074 1,074 N/A
04/14/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 490.31 Ordinary 717 717 N/A
04/14/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 709.72 Ordinary 1,041 1,041 N/A
04/17/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 711,578 5,692,624 Refer to
App. B
04/18/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 946,700 946,700 Refer to
App. B
04/18/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (300) (2,400) Refer to
App. B
04/18/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (4,989.07) Ordinary (7,733) (7,733) N/A
04/18/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (684.35) Ordinary (1,061) (1,061) N/A
04/18/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (377.97) Ordinary (586) (586) N/A
04/18/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (849.47) Ordinary (1,317) (1,317) 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
04/19/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 200 1,600 Refer to
App. B
04/19/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 4,931.37 Ordinary 7,406 7,406 N/A
04/19/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 452.25 Ordinary 675 675 N/A
04/19/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 787.80 Ordinary 1,180 1,180 N/A
04/19/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 283.41 Ordinary 423 423 N/A
04/20/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
04/20/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (4,639.01) Ordinary (6,880) (6,880) N/A
04/20/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (633.85) Ordinary (943) (943) N/A
04/20/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (486.42) Ordinary (726) (726) N/A
04/20/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (765.27) Ordinary (1,135) (1,135) N/A
04/21/2023 BofA Securities, Inc. Securities
returned		 N/A Ordinary (500,000) (500,000) Refer to
App. B
04/21/2023 BofA Securities, Inc. Securities
returned		 N/A Ordinary (203,294) (203,294) Refer to
App. B
04/21/2023 BofA Securities, Inc. Securities
returned		 N/A Ordinary (142,180) (142,180) Refer to
App. B
04/21/2023 BofA Securities, Inc. Securities
returned		 N/A Ordinary (499,800) (499,800) Refer to
App. B
04/21/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
04/21/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
04/24/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
04/24/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 600 4,800 Refer to
App. B
04/24/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
04/25/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 300 2,400 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
04/25/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
04/26/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (556,747) (4,453,976) Refer to
App. B
04/27/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
04/28/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
04/28/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/01/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/02/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 700 5,600 Refer to
App. B
05/02/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/03/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/04/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (300) (2,400) Refer to
App. B
05/04/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/05/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 618,672 4,949,376 Refer to
App. B
05/05/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 8,225.70 Ordinary 11,751 11,751 N/A
05/08/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
05/08/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (700) (5,600) Refer to
App. B
05/08/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/08/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/08/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (618,672) (4,949,376) Refer to
App. B
05/08/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (90,535) (724,280) Refer to
App. B
05/08/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 709,207 5,673,656 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
05/08/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (155.40) Ordinary (222) (222) N/A
05/09/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 887,637 887,637 Refer to
App. B
05/09/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 400 3,200 Refer to
App. B
05/09/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/10/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/11/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 863,300 863,300 Refer to
App. B
05/11/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
05/11/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 25,490 203,920 Refer to
App. B
05/12/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 2,467,696 2,467,696 Refer to
App. B
05/12/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 6,700 53,600 Refer to
App. B
05/12/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 200 1,600 Refer to
App. B
05/12/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (702,063) (5,616,504) Refer to
App. B
05/12/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (25,490) (203,920) Refer to
App. B
05/12/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 727,553 5,820,424 Refer to
App. B
05/12/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/15/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (512,842) (512,842) Refer to
App. B
05/15/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (632,312) (632,312) Refer to
App. B
05/15/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,126) (4,126) Refer to
App. B
05/15/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
05/15/2023 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
05/15/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (6,500) (52,000) Refer to
App. B
05/15/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (488.43) Ordinary (729) (729) N/A
05/16/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 1,838,360 1,838,360 Refer to
App. B
05/16/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (140,144) (140,144) Refer to
App. B
05/16/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (821,972) (821,972) Refer to
App. B
05/16/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (130,308) (130,308) Refer to
App. B
05/16/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (3,043.00) Ordinary (4,475) (4,475) N/A
05/16/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (950.13) Ordinary (1,377) (1,377) N/A
05/17/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 388,000 388,000 Refer to
App. B
05/17/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/17/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/17/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (500) (4,000) Refer to
App. B
05/17/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/17/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
05/17/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (167.01) Ordinary (263) (263) N/A
05/18/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 739,140 739,140 Refer to
App. B
05/18/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (343,204) (343,204) Refer to
App. B
05/18/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
05/18/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (3,098.79) Ordinary (4,491) (4,491) N/A
05/18/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (126.10) Ordinary (194) (194) 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
05/19/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/19/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/19/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/19/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/22/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/23/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/23/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/24/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/24/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/24/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
05/25/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/25/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
05/26/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
05/26/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
05/29/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 485,000 485,000 Refer to
App. B
05/29/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,245) (4,245) Refer to
App. B
05/30/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (16,167) (16,167) Refer to
App. B
05/30/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (341,212) (341,212) Refer to
App. B
05/31/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 460,170 460,170 Refer to
App. B
05/31/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (143,788) (143,788) 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
05/31/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (360,277) (360,277) Refer to
App. B
05/31/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
06/01/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
06/01/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 400 3,200 Refer to
App. B
06/01/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 33,571 268,568 Refer to
App. B
06/02/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 2,306,459 2,306,459 Refer to
App. B
06/02/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (18,798) (18,798) Refer to
App. B
06/02/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 500 4,000 Refer to
App. B
06/02/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (33,571) (268,568) Refer to
App. B
06/02/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (698,977) (5,591,816) Refer to
App. B
06/02/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 732,548 5,860,384 Refer to
App. B
06/02/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (4,207) (33,656) Refer to
App. B
06/02/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (4,207) (33,656) Refer to
App. B
06/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (345,789) (345,789) Refer to
App. B
06/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (460,170) (460,170) Refer to
App. B
06/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (517,200) (517,200) Refer to
App. B
06/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (221,940) (221,940) Refer to
App. B
06/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (887,637) (887,637) Refer to
App. B
06/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (615,131) (615,131) Refer to
App. B
06/05/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 300 2,400 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
06/05/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 375.84 Ordinary 648 648 N/A
06/06/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 1,693,265 1,693,265 Refer to
App. B
06/06/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (357,648) (357,648) Refer to
App. B
06/06/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,339,681) (1,339,681) Refer to
App. B
06/06/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
06/07/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
06/07/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
06/08/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
06/08/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
06/08/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (372.60) Ordinary (648) (648) N/A
06/09/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
06/12/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (300) (2,400) Refer to
App. B
06/13/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,063) (4,063) Refer to
App. B
06/13/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,064) (4,064) Refer to
App. B
06/14/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,705) (4,705) Refer to
App. B
06/14/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
06/14/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) Refer to
App. B
06/15/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (698) (698) Refer to
App. B
06/15/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (3,366) (3,366) Refer to
App. B
06/16/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (293) (293) 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
06/16/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (13,609) (13,609) Refer to
App. B
06/16/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
06/16/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (300) (2,400) Refer to
App. B
06/16/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
06/16/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
06/19/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (3,366) (3,366) Refer to
App. B
06/20/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,266) (4,266) Refer to
App. B
06/20/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 700 5,600 Refer to
App. B
06/21/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (3,366) (3,366) Refer to
App. B
06/21/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
06/21/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (352,063) (2,816,504) Refer to
App. B
06/22/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 1,745,634 1,745,634 Refer to
App. B
06/22/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (400) (3,200) Refer to
App. B
06/22/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (300) (2,400) Refer to
App. B
06/22/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
06/22/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
06/22/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (364,927) (2,919,416) Refer to
App. B
06/23/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
06/27/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,278) (1,278) Refer to
App. B
06/27/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 7,898.54 Ordinary 14,457 14,457 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
06/27/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 2,095.76 Ordinary 3,896 3,896 N/A
06/27/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 2,971.39 Ordinary 5,554 5,554 N/A
06/27/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 1,217.70 Ordinary 2,240 2,240 N/A
06/27/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 879.88 Ordinary 1,630 1,630 N/A
06/28/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
06/29/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,278) (1,278) Refer to
App. B
06/29/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 400 3,200 Refer to
App. B
06/30/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,278) (1,278) Refer to
App. B
06/30/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 4,726.63 Ordinary 8,672 8,672 N/A
06/30/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 182.95 Ordinary 334 334 N/A
06/30/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 1,039.50 Ordinary 1,890 1,890 N/A
06/30/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 1,670.90 Ordinary 3,038 3,038 N/A
07/04/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,278) (1,278) Refer to
App. B
07/05/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (2,190) (2,190) Refer to
App. B
07/05/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (400) (3,200) Refer to
App. B
07/05/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
07/05/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (7,910.39) Ordinary (13,168) (13,168) N/A
07/05/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (314.15) Ordinary (515) (515) N/A
07/05/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (1,036.53) Ordinary (1,724) (1,724) N/A
07/05/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (1,743.01) Ordinary (2,879) (2,879) 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
07/05/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (3,084.84) Ordinary (5,016) (5,016) N/A
07/06/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 389,564 389,564 Refer to
App. B
07/06/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,278) (1,278) Refer to
App. B
07/06/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 300 2,400 Refer to
App. B
07/06/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (5,288.88) Ordinary (9,093) (9,093) N/A
07/06/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (1,081.58) Ordinary (1,881) (1,881) N/A
07/06/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (524.98) Ordinary (913) (913) N/A
07/06/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (1,435.78) Ordinary (2,497) (2,497) N/A
07/06/2023 Merrill Lynch (Australia) Futures
Limited		 SELL (2,314.38) Ordinary (4,025) (4,025) N/A
07/07/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (326,996) (326,996) Refer to
App. B
07/07/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 1,000 8,000 Refer to
App. B
07/10/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 388,679 388,679 Refer to
App. B
07/10/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (62,568) (62,568) Refer to
App. B
07/10/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (330,377) (330,377) Refer to
App. B
07/11/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,266) (4,266) Refer to
App. B
07/11/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 400 3,200 Refer to
App. B
07/11/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 400 3,200 Refer to
App. B
07/11/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (400) (3,200) Refer to
App. B
07/12/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (6,302) (6,302) Refer to
App. B
07/13/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (700) (700) 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
07/13/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (4,013) (4,013) Refer to
App. B
07/13/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 800 6,400 Refer to
App. B
07/13/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 706,491 5,651,928 Refer to
App. B
07/14/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 406,961 406,961 Refer to
App. B
07/17/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 200 1,600 Refer to
App. B
07/17/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (706,491) (5,651,928) Refer to
App. B
07/18/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (200) (1,600) Refer to
App. B
07/18/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (600) (4,800) Refer to
App. B
07/18/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (800) (6,400) Refer to
App. B
07/18/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (300) (2,400) Refer to
App. B
07/18/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (400) (3,200) Refer to
App. B
07/18/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
07/19/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,801) (1,801) Refer to
App. B
07/19/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 800 6,400 Refer to
App. B
07/20/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (1,801) (1,801) Refer to
App. B
07/20/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 300 2,400 Refer to
App. B
07/20/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 266,843 2,134,744 Refer to
App. B
07/21/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (858) (858) Refer to
App. B
07/21/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 1,500 12,000 Refer to
App. B
07/21/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (7,144) (57,152) 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
07/24/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 100 800 Refer to
App. B
07/24/2023 Merrill Lynch International Securities
returned		 N/A American Depository
Shares		 (259,699) (2,077,592) Refer to
App. B
07/24/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 203,000.00 Ordinary 350,000 350,000 N/A
07/25/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 16,535 16,535 Refer to
App. B
07/25/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
borrowed		 N/A Ordinary 512 512 Refer to
App. B
07/25/2023 Merrill Lynch International Securities
borrowed		 N/A Ordinary 2,629 2,629 Refer to
App. B
07/25/2023 Merrill Lynch International Securities
borrowed		 N/A Ordinary 82 82 Refer to
App. B
07/26/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 3,700 29,600 Refer to
App. B
07/27/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (374) (374) Refer to
App. B
07/27/2023 BofA Securities, Inc. Securities
borrowed		 N/A American Depository
Shares		 600 4,800 Refer to
App. B
07/27/2023 Merrill Lynch (Australia) Futures
Limited		 BUY 140,000.00 Ordinary 250,000 250,000 N/A
07/27/2023 Merrill Lynch International Securities
returned		 N/A Ordinary (2,629) (2,629) Refer to
App. B
07/27/2023 Merrill Lynch International Securities
returned		 N/A Ordinary (82) (82) Refer to
App. B
07/27/2023 Merrill Lynch International Securities
borrowed		 N/A Ordinary 2,711 2,711 Refer to
App. B
07/28/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (100) (800) Refer to
App. B
07/28/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (600) (4,800) Refer to
App. B
07/28/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 643,260 5,146,080 Refer to
App. B
07/31/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (138) (138) Refer to
App. B
07/31/2023 Merrill Lynch Markets (Australia)
Pty. Limited		 Securities
returned		 N/A Ordinary (527) (527) Refer to
App. B
07/31/2023 BofA Securities, Inc. Securities
returned		 N/A American Depository
Shares		 (1,100) (8,800) 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
07/31/2023 Merrill Lynch International Securities
borrowed		 N/A American Depository
Shares		 82,529 660,232 Refer to
App. B

Appendix B-1: 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 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 Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and BBH FUND 219480
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 Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and BBH FUND 012887
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
(ifany)		 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 Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and BBH FUND 249180
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 Securities LendingAgreement
Parties to agreement BofA Securities, Inc. and CITIBANK N.A.
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 Securities LendingAgreement
Parties to agreement Merrill Lynch Markets (Australia) Pty. Limited and STATE STREET BANK & TRUST CO - SYDNEY
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
(ifany)		 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 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
(ifany)		 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 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-9: 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-10: 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
(ifany)		 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 Alfred Street Nominees Pty Limited As Trustee Of Man Caledonia
InvestmentTrust
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
(ifany)		 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 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
(ifany)		 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 Citadel Securities 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-14: 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
(ifany)		 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 Emerging
CompaniesFundIII
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
SmallCompaniesFund
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 Of Regal Emerging
Companies OpportunitiesFund
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 International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International and Regal Funds Management Pty Limited As Trustee For Regal Australian
ActiveExtension 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-19: 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
OpportunitiesFund
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 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
(ifany)		 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 International Prime Brokerage Agreement
Parties to agreement Merrill Lynch International and Regal Funds Management Pty Limited As Trustee For Regal Australian
Long Short GearedEquityFundAc
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-22: 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 ShortEquityFund
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-23: 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-24: 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-25: 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 C
Related bodies corporate Incorporated **ACN/Registration/Incorporation Number **
Merrill Lynch International UnitedKingdom 2312079
ML UK Capital Holdings Limited United Kingdom 4971231
BofAML EMEA Holdings2 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

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