AI assistant
Opthea Ltd — Major Shareholding Notification 2024
Jun 24, 2024
32698_rns_2024-06-24_25ab72bf-6fd9-431e-a77b-18385fdff3a5.pdf
Major Shareholding Notification
Open in viewerOpens in your device viewer
| To Company Name/Scheme ACN/ARSN 1. Details of substantial holder (1) Name ACN/ARSN (if applicable) - 21/06/2024 The previous notice was given to the company on 25/09/2023 The previous notice was dated 21/09/2023 2. Previous and present voting power The % substantial is based on the shares on issue of 1,091,466,771 as disclosed by the Company on 21-06-2024. 3. Changes in relevant interests 4. Present relevant interests Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows: Nature of relevant interest (6) Class and number of securities Person's votes 137,394,732 ORDINARY 137,394,732 852,403 ADS 6,819,224 HOLDER OF SHARES 3,980,049 ORDINARY 3,980,049 34,442,896 ORDINARY 34,442,896 446,058 ADS 3,568,464 ORDINARY Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows: Consideration (9) 129,001,880 19.46% 289,736,603 26.55% Holder of relevant interest Date of acquisition See Annexure 2 ADS each representing 8 ordinary shares 2,895,987 3.50% 2,907,403 2.13% Form 604 Corporations Act 2001 Section 671B The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows: Notice of change of interests of substantial holder* There was a change in the interests of the substantial holder on Class of securities (4) Voting power (5) Person's votes Previous notice Current notice Person's votes Voting power (5) OPTHEA LTD (OPT) 006 340 567 Regal Funds Management Pty Limited and its associates (see Annexure 1) Class and number of securities UBS Nominees Pty Ltd UBS Securities LLC & Citibank HSBC Custody Nominees (Australia) Limited A/C 2 Goldman Sachs International Holder of relevant interest Registered holder of securities Person entitled to be registered as holder (8) Regal Funds Management Pty Ltd and its associates UBS AG, Australia Branch HOLDER OF SHARES Regal Funds Management Pty Ltd and its associates Morgan Stanley & Co Intl Plc HSBC CUSTODY NOMINEES (AUSTRALIA) LIMITED Regal Funds Management Pty Ltd and its associates GOLDMAN SACHS INTERNATIONAL, LONDON HOLDER OF SHARES |
To Company Name/Scheme ACN/ARSN 1. Details of substantial holder (1) Name ACN/ARSN (if applicable) - 21/06/2024 The previous notice was given to the company on 25/09/2023 The previous notice was dated 21/09/2023 2. Previous and present voting power The % substantial is based on the shares on issue of 1,091,466,771 as disclosed by the Company on 21-06-2024. 3. Changes in relevant interests 4. Present relevant interests Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows: Nature of relevant interest (6) Class and number of securities Person's votes 137,394,732 ORDINARY 137,394,732 852,403 ADS 6,819,224 HOLDER OF SHARES 3,980,049 ORDINARY 3,980,049 34,442,896 ORDINARY 34,442,896 446,058 ADS 3,568,464 ORDINARY Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows: Consideration (9) 129,001,880 19.46% 289,736,603 26.55% Holder of relevant interest Date of acquisition See Annexure 2 ADS each representing 8 ordinary shares 2,895,987 3.50% 2,907,403 2.13% Form 604 Corporations Act 2001 Section 671B The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows: Notice of change of interests of substantial holder* There was a change in the interests of the substantial holder on Class of securities (4) Voting power (5) Person's votes Previous notice Current notice Person's votes Voting power (5) OPTHEA LTD (OPT) 006 340 567 Regal Funds Management Pty Limited and its associates (see Annexure 1) Class and number of securities UBS Nominees Pty Ltd UBS Securities LLC & Citibank HSBC Custody Nominees (Australia) Limited A/C 2 Goldman Sachs International Holder of relevant interest Registered holder of securities Person entitled to be registered as holder (8) Regal Funds Management Pty Ltd and its associates UBS AG, Australia Branch HOLDER OF SHARES Regal Funds Management Pty Ltd and its associates Morgan Stanley & Co Intl Plc HSBC CUSTODY NOMINEES (AUSTRALIA) LIMITED Regal Funds Management Pty Ltd and its associates GOLDMAN SACHS INTERNATIONAL, LONDON HOLDER OF SHARES |
|---|---|
| 4. Present relevant interests Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows: Nature of relevant interest (6) HOLDER OF SHARES Consideration (9) Holder of relevant interest Date of acquisition See Annexure 2 Class and UBS Nominees Pty Ltd UBS Securities LLC & Citibank HSBC Custody Nominees (Australia) Limited A/C 2 Goldman Sachs International Holder of relevant interest Registered holder of securities Person entitled to be registered as holder (8) Regal Funds Management Pty Ltd and its associates UBS AG, Australia Branch HOLDER OF SHARES Regal Funds Management Pty Ltd and its associates Morgan Stanley & Co Intl Plc HSBC CUSTODY NOMINEES (AUSTRALIA) LIMITED Regal Funds Management Pty Ltd and its associates GOLDMAN SACHS INTERNATIONAL, LONDON HOLDER OF SHARES |
Class and number of securities Person's votes 137,394,732 ORDINARY 137,394,732 852,403 ADS 6,819,224 3,980,049 ORDINARY 3,980,049 34,442,896 ORDINARY 34,442,896 446,058 ADS 3,568,464 number of securities |
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:
==> picture [438 x 74] intentionally omitted <==
----- Start of picture text -----
Previous notice Current notice
Class of securities (4)
Person's votes Voting power Person's votes Voting power (5)
(5)
ORDINARY 129,001,880 19.46% 289,736,603 26.55%
ADS each representing 8
2,895,987 3.50% 2,907,403 2.13%
ordinary shares
----- End of picture text -----
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
| Holder of relevant interest | Date of acquisition | Consideration (9) | Class and | number of securities | number of securities | number of securities | ||||
|---|---|---|---|---|---|---|---|---|---|---|
| See Annexure 2 | ||||||||||
| 4. Present relevant interests | ||||||||||
| Particulars of each relevant | interest of the substantial holder in voting securities after the change | are as follows: | ||||||||
| Holder of relevant interest | Registered holder of securities | Person entitled to be registered as holder (8) |
Nature of relevant interest (6) |
Class and number of securities |
Person's votes |
|||||
| UBS Nominees Pty Ltd | 137,394,732 ORDINARY |
137,394,732 | ||||||||
| Regal Funds Management Pty Ltd and its associates |
UBS AG, Australia Branch | HOLDER OF SHARES |
||||||||
| UBS Securities LLC & Citibank | 852,403 ADS |
6,819,224 |
||||||||
| Regal Funds Management Pty Ltd and its associates |
HSBC Custody Nominees (Australia) Limited A/C 2 |
Morgan Stanley & Co Intl Plc | HOLDER OF SHARES |
3,980,049 ORDINARY |
3,980,049 | |||||
| HSBC CUSTODY NOMINEES (AUSTRALIA) LIMITED |
34,442,896 ORDINARY |
34,442,896 | ||||||||
| Regal Funds Management | GOLDMAN SACHS | HOLDER OF | ||||||||
| Pty Ltd and its associates | INTERNATIONAL, LONDON | SHARES | ||||||||
| Goldman Sachs International | 446,058 ADS | 3,568,464 |
==> picture [440 x 121] intentionally omitted <==
----- Start of picture text -----
J.P. MORGAN NOMINEES AUSTRALIA
Regal Funds Management Pty Ltd and its associates LTD J.P MORGAN NOMINEES AUSTRALIA LTD HOLDER OF SHARES ORDINARY2,114,754 2,114,754
(AUSTRALIA) LIMITED
Merrill Lynch (Australia) Nominees Pty 48,680,287
Limited ORDINARY 48,680,287
Regal Funds Management Merrill Lynch International HOLDER OF
Pty Ltd and its associates Limited SHARES
1,170,942
Merrill Lynch Pierce Fenner & Smith 9,367,536
ADS
Regal Funds Management J.P. MORGAN PRIME NOMINEES LTD J.P. MORGAN SECURITIES PLC HOLDER OF ORDINARY63,123,885 63,123,885
Pty Ltd and its associates J.P. MORGAN SECURITIES LLC J.P. MORGAN SECURITIES LLC SHARES 438,000 ADS 3,504,000
----- End of picture text -----
==> picture [446 x 302] intentionally omitted <==
----- Start of picture text -----
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the
substantial holder in relation to voting interests in the company or scheme are as follows:
Name and ACN/ARSN (if applicable) Nature of association
N/A
6. Addresses
The addresses of persons named in this form are as follows:
Name Address
LEVEL 47, GATEWAY, 1 MACQUARIE PLACE, SYDNEY
REGAL FUNDS MANAGEMENT PTY LIMITED
NSW 2000
LEVEL 47, GATEWAY, 1 MACQUARIE PLACE, SYDNEY
REGAL PARTNERS LIMITED
NSW 2000
Signature
print name Kenny Ho capacity Company Secretary
sign here date 25/06/2024
----- End of picture text -----
Annexure 1
Details of Substantial Holders
==> picture [195 x 39] intentionally omitted <==
----- Start of picture text -----
ACN Name
107 576 821 REGAL FUNDS MANAGEMENT PTY LIMITED
129 188 450 REGAL PARTNERS LIMITED
----- End of picture text -----
Annexure 2
Changes in Relevant Interests
| Consideration | ||||||
|---|---|---|---|---|---|---|
| given in | Number of | Persons | ||||
| Nature of | relation to | securities | Class of | votes | ||
| Date | Person whose relevant interest changed | Change | change | affected | securities | affected |
| Regal Funds Management Pty Limited (and Regal | ||||||
| Partners Limited by virtue of control of Regal Funds | ||||||
| 17/11/2023 | Management Pty Limited) | Sell | 629883.93 | 1702389 | Ordinary | 1702389 |
| Regal Funds Management Pty Limited (and Regal | ||||||
| Partners Limited by virtue of control of Regal Funds | ||||||
| 17/11/2023 | Management Pty Limited) | Buy | 629883.93 | 1702389 | Ordinary | 1702389 |
| Regal Funds Management Pty Limited (and Regal | ||||||
| Partners Limited by virtue of control of Regal Funds | ||||||
| 21/12/2023 | Management Pty Limited) | Sell | 470000.00 | 1000000 | Ordinary | 1000000 |
| Regal Funds Management Pty Limited (and Regal | ||||||
| Partners Limited by virtue of control of Regal Funds | ||||||
| 21/12/2023 | Management Pty Limited) | Buy | 470000.00 | 1000000 | Ordinary | 1000000 |
==> picture [439 x 555] intentionally omitted <==
----- Start of picture text -----
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
5/01/2024 Management Pty Limited) Sell 215250.00 350000 Ordinary 350000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
5/01/2024 Management Pty Limited) Buy 215250.00 350000 Ordinary 350000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
19/01/2024 Management Pty Limited) Sell 774130.66 1532932 Ordinary 1532932
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
19/01/2024 Management Pty Limited) Buy 774130.66 1532932 Ordinary 1532932
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
22/03/2024 Management Pty Limited) Buy 173758.00 260000 Ordinary 260000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
25/03/2024 Management Pty Limited) Buy 105315.00 150000 Ordinary 150000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
25/03/2024 Management Pty Limited) Buy 24486.00 35000 Ordinary 35000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
26/03/2024 Management Pty Limited) Buy 78724.88 111619 Ordinary 111619
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
26/03/2024 Management Pty Limited) Buy 45865.02 65066 Ordinary 65066
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
27/03/2024 Management Pty Limited) Buy 184807.80 249000 Ordinary 249000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
27/03/2024 Management Pty Limited) Sell 727431.84 983016 Ordinary 983016
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
27/03/2024 Management Pty Limited) Buy 1480000.00 2000000 Ordinary 2000000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
28/03/2024 Management Pty Limited) Sell 725660.28 980622 Ordinary 980622
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
28/03/2024 Management Pty Limited) Buy 1573739.50 2126675 Ordinary 2126675
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
28/03/2024 Management Pty Limited) Buy 156488.94 201687 Ordinary 201687
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
2/04/2024 Management Pty Limited) Buy 241274.42 313547 Ordinary 313547
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
4/04/2024 Management Pty Limited) Buy 20577.20 28000 Ordinary 28000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
5/04/2024 Management Pty Limited) Sell 1470000.00 2000000 Ordinary 2000000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
5/04/2024 Management Pty Limited) Buy 1470000.00 2000000 Ordinary 2000000
----- End of picture text -----
==> picture [438 x 301] intentionally omitted <==
----- Start of picture text -----
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
5/04/2024 Management Pty Limited) Buy 70560.00 96000 Ordinary 96000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
9/04/2024 Management Pty Limited) Buy 150000.00 200000 Ordinary 200000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
16/04/2024 Management Pty Limited) Buy 18480.00 28000 Ordinary 28000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
18/04/2024 Management Pty Limited) Sell 1260000.00 2000000 Ordinary 2000000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
18/04/2024 Management Pty Limited) Buy 1260000.00 2000000 Ordinary 2000000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
3/05/2024 Management Pty Limited) Sell 325130.21 528667 Ordinary 528667
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
3/05/2024 Management Pty Limited) Buy 325130.21 528667 Ordinary 528667
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
19/06/2024 Management Pty Limited) Buy 3145000.00 8500000 Ordinary 8500000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
19/06/2024 Management Pty Limited) Sell 3145000.00 8500000 Ordinary 8500000
Regal Funds Management Pty Limited (and Regal
Partners Limited by virtue of control of Regal Funds
21/06/2024 Management Pty Limited) Buy 62733507.20 156833767 Ordinary 156833767
----- End of picture text -----
| Changes in | relevant interests [ADS] | ||||||
|---|---|---|---|---|---|---|---|
| Regal Funds Management Pty Limited (and Regal | |||||||
| Partners Limited by virtue of control of Regal Funds | |||||||
| 22/03/2024 | Management Pty Limited) | Buy | 37142.00 | 10000 | Ordinary | 10000 | |
| Regal Funds Management Pty Limited (and Regal | |||||||
| Partners Limited by virtue of control of Regal Funds | |||||||
| 26/03/2024 | Management PtyLimited) | Buy | 5337.33 | 1416 | Ordinary | 1416 | |