ASX:LKE - Change in substantial holding

Change in substantial holding

Released 4 Jul 2023 - 7:17 PM

Announcement PDF 604 Page 1 of 3 Form 604 Corporations Act 2001 Section 671B Notice of change of interests of substantial holder To Company Name/Scheme LAKE RESOURCES NL ACN/ARSN/ABN 490 794 719 80 1. Details of substantial holder (1) Name JPMorgan Chase & Co. and its affiliates ACN/ARSN (if applicable) NA There was a change in the interests of the substantial holder on 30/06/2023 The previous notice was given to the company on 19/04/2023 The previous notice was dated /17/04/2023 / 2. Previous and present voting power The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows: Class of securities (4) Previous notice Person’s votes Ordinary 95,756,792 Present notice Voting power (5) Person’s votes 6.73% 77,247,356 Voting power (5) 5.43% 3. Changes in relevant interests Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows: Date of change Person whose relevant interest changed Nature of change (6) Consideration given in Class and number of Person's votes relation to change (7) securities affected affected See Appendix JPMORGAN CHASE BANK,N.A Securities on Loan as Agent Lender See Appendix 11,964,475 (Ordinary) 11,964,475 (Ordinary) See Appendix JPMORGAN ASSET MANAGEMENT (UK) LIMITED Securities received as collateral due to securities lending See Appendix 18,236 (Ordinary) 18,236 (Ordinary) See Appendix JPMORGAN ASSET MANAGEMENT (JAPAN) LIMITED Securities received as collateral due to securities lending See Appendix 671 (Ordinary) 671 (Ordinary) See Appendix JPM ASSET MGMT HOLDINGS INC. In its capacity as investment manager or in various other related capacities See Appendix 56,500 (Ordinary) 56,500 (Ordinary) See Appendix J.P. MORGAN SECURITIES PLC Holder of securities subject to an obligation to return under a securities lending agreement See Appendix 20,020,624 (Ordinary) 20,020,624 (Ordinary) See Appendix J.P. MORGAN SECURITIES PLC Purchase and sales of securities in its capacity as Principal/Proprietary See Appendix 86,087 (Ordinary) 86,087 (Ordinary) See Appendix J.P. MORGAN SECURITIES LLC Holder of securities subject to an obligation to return under a securities lending agreement See Appendix 12,793,743 (Ordinary) 12,793,743 (Ordinary) See Appendix J.P. MORGAN SECURITIES LLC Rehypothecation of client securities under a Prime Brokerage Agreement See Appendix 2,395,419 (Ordinary) 2,395,419 (Ordinary) 604 Page 2 of 3 J.P. MORGAN See SECURITIES AUSTRALIA Appendix LIMITED Holder of securities subject to an obligation to return under a securities lending agreement See Appendix 1,080,000 (Ordinary) 1,080,000 (Ordinary) J.P. MORGAN See SECURITIES AUSTRALIA Appendix LIMITED Purchase and sales of securities in its capacity as Principal/Proprietary See Appendix 2,910,089 (Ordinary) 2,910,089 (Ordinary) Securities received as collateral due to securities lending See Appendix 7,090 (Ordinary) 7,090 (Ordinary) See Appendix J.P. MORGAN INVESTMENT MANAGEMENT INC. 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 JPMORGAN CHASE BANK,N.A JPM Nominees Australia Pty Limited Various Borrowers under the Securities Lending Agreement Securities on Loan as Agent Lender 20,922,554 (Ordinary) 20,922,554 (Ordinary) JPM ASSET MGMT HOLDINGS INC. Not available Various Clients and Custodians In its capacity as investment manager or in various other related capacities 61,500 (Ordinary) 61,500 (Ordinary) J.P. MORGAN SECURITIES PLC JPM Nominees Australia Pty Limited JPM Nominees Australia Pty Limited Holder of securities subject to an obligation to return under a securities lending agreement 17,270,465 (Ordinary) 17,270,465 (Ordinary) J.P. MORGAN SECURITIES PLC JPM Nominees Australia Pty Limited J.P. MORGAN SECURITIES PLC Purchase and sales of securities in its capacity as Principal/Proprietary 244,376 (Ordinary) 244,376 (Ordinary) J.P. MORGAN SECURITIES LLC Citi Australia Various Clients and Custodians Rehypothecation of client securities under a Prime Brokerage Agreement 2,569,626 (Ordinary) 2,569,626 (Ordinary) J.P. MORGAN SECURITIES LLC Citi Australia Citi Australia Holder of securities subject to an obligation to return under a securities lending agreement 24,393,743 (Ordinary) 24,393,743 (Ordinary) Ecapital Nominees Pty Ltd J.P. MORGAN SECURITIES AUSTRALIA LIMITED Purchase and sales of securities in its capacity as Principal/Proprietary 6,197,216 (Ordinary) 6,197,216 (Ordinary) Ecapital Nominees Pty Ltd Ecapital Nominees Pty Ltd Holder of securities subject to an obligation to return under a securities lending agreement 5,587,876 (Ordinary) 5,587,876 (Ordinary) J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED 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 J.P. MORGAN SECURITIES LLC Subsidiary of JPMorgan Chase & Co. J.P. MORGAN SECURITIES PLC Subsidiary of JPMorgan Chase & Co. J.P. MORGAN SECURITIES AUSTRALIA LIMITED Subsidiary of JPMorgan Chase & Co. JPMORGAN CHASE BANK, N.A. Subsidiary of JPMorgan Chase & Co. JPMorgan Asset Management Holdings Inc. Subsidiary of JPMorgan Chase & Co. JPMORGAN ASSET MANAGEMENT (UK) LIMITED Subsidiary of JPMorgan Chase & Co. J.P. MORGAN INVESTMENT MANAGEMENT INC. Subsidiary of JPMorgan Chase & Co. JPMORGAN ASSET MANAGEMENT (JAPAN) LIMITED Subsidiary of JPMorgan Chase & Co. 604 Page 3 of 3 6. Addresses The addresses of persons named in this form are as follows: Name Address JPMorgan Chase & Co. 383 Madison Avenue, New York, New York, NY, 10179, United States J.P. MORGAN SECURITIES LLC 383 Madison Ave., New York, New York, NY, 10179, United States J.P. MORGAN SECURITIES PLC 25 Bank Street, Canary Wharf, London, E14 5JP, England J.P. MORGAN SECURITIES AUSTRALIA LIMITED Level 18, 83-85 Castlereagh Street, Sydney, NSW 2000, Australia JPMORGAN CHASE BANK, N.A. JPMorgan Asset Management Holdings Inc 1111 Polaris Parkway, Columbus, Delaware, OH, 43240, United States 383 Madison Avenue, New York, New York, NY, 10179, United States JPMORGAN ASSET MANAGEMENT (UK) LIMITED 60 Victoria Embankment, London, EC4Y0JP, England J.P. MORGAN INVESTMENT MANAGEMENT INC. 383 Madison Avenue, New York, New York, NY, 10179, United States Tokyo Building, 7-3 Marunouchi 2 Chome,Chiyoda-ku, Tokyo, 100 6432, Japan JPMORGAN ASSET MANAGEMENT (JAPAN) LIMITED Signature print name Vasim Pathan capacity sign here Compliance Officer date 04/07/2023 DIRECTIONS (1) If there are a number of substantial holders with similar or related relevant interests (eg. a corporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 6 of the form. (2) See the definition of "associate" in section 9 of the Corporations Act 2001. (3) See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001. (4) The voting shares of a company constitute one class unless divided into separate classes. (5) The person's votes divided by the total votes in the body corporate or scheme multiplied by 100. (6) Include details of: (a) any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and (b) any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies). See the definition of "relevant agreement" in section 9 of the Corporations Act 2001. (7) Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired. (8) If the substantial holder is unable to determine the identity of the person (eg. if the relevant interest arises because of an option) write "unknown". (9) Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice. TRADES FOR RELEVANT PERIOD Transaction Date Balance at start of relevant period 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 18-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 19-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 20-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 21-Apr-23 24-Apr-23 24-Apr-23 24-Apr-23 24-Apr-23 24-Apr-23 24-Apr-23 24-Apr-23 24-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 Appendix Entity Product Type Type of Transaction J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES PLC JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES PLC JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES PLC JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Adjustment Adjustment Adjustment Adjustment Borrow Borrow Sell Buy Sell Buy Sell Sell Buy Sell Sell Sell Sell Sell Sell Sell Sell Sell Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Sell Sell Sell Buy Sell Buy Sell Sell Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Borrow Return Borrow Return Borrow Return Borrow Return Borrow Return Borrow Return Borrow Return Borrow Return Borrow Return Borrow Return Borrow Borrow Borrow Buy Buy Sell Sell Buy Buy Buy Sell Sell Buy Buy Sell Buy Borrow Borrow Borrow Borrow Borrow Borrow Borrow Return Borrow Buy Sell Sell Sell Sell Sell Buy Sell Borrow Borrow Borrow Borrow Borrow Borrow Buy Buy Sell Buy Buy Sell Sell Sell Sell Buy Borrow Return Borrow Return Borrow Return Borrow Borrow Borrow Buy Sell Buy Sell Buy Sell Buy Quantity 95,756,792 (27,500,000) 20,000,000 (634) (5) 280,000 200,000 (6,840) 100,000 (50,000) 16,326 (723,889) (48,830) 310 (641,323) (315,523) (10,000) (144) (405) (490) (237,845) (2,784) (27,210) 1,000,000 300,000 44,850 31,747 36,943 26,813 40,917 621 500,000 2,500,000 (1,940) (268) (20,000) 619 (961) 12,874 (30,052) (6,651) 20,562 1,792 508,208 124,571 31,195 118,822 54,890 7 91,367 15,734 168,798 6,216 (31,195) (118,822) (20,000) (20,562) (133,477) (91,367) (15,734) (327,018) (6,045) (3,900,525) 131,678 221,737 1,646,585 2,887 1,940 (39,235) (141,384) 120 151 54,375 (54,375) (54,375) 108,025 61,230 (52,892) 97,897 1,000,000 600,000 17,000 881 100,000 600,000 (1,000,000) 1,000,000 151,207 (151,207) (10,240) (2,237) (123,815) (48,085) 43,797 (18,032) 70,000 300,000 500,000 87,546 19,119 324,227 8,838 200 (19,272) 388 338,161 (14) (2,122) (7,035) (1,449) 1,449 (200,000) (1,000,000) (2,500,000) 200,000 1,000,000 2,500,000 2,970 (50,000) 1 (149,302) 98 (1,002) 70,000 Price (AUD) Consideration - 0.50 0.50 0.50 0.54 0.51 0.55 0.50 0.51 0.51 0.51 0.50 0.55 0.50 0.50 0.50 0.50 0.46 0.46 0.46 0.50 0.46 0.46 0.46 0.46 0.45 0.45 0.44 0.45 0.45 0.45 0.45 0.45 0.45 0.45 0.45 0.46 0.45 0.45 0.45 0.45 0.45 0.44 0.45 0.45 0.45 0.43 0.43 0.42 0.43 0.43 0.45 0.43 0.43 0.43 0.43 0.43 0.42 0.42 0.42 0.42 0.42 0.42 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 3,385.80 49,500.00 24,750.00 8,816.04 366,804.69 26,612.35 154.99 325,253.37 159,601.63 5,111.37 71.28 220.73 242.55 117,733.28 1,378.08 13,468.95 882.70 124.46 9,196.32 306.41 437.26 5,857.67 13,673.66 3,026.21 1,284.72 863.30 17,440.62 63,422.03 53.40 67.20 24,196.88 24,196.88 24,196.88 48,071.13 27,247.35 24,330.32 43,564.17 67,287.12 67,287.12 4,557.06 995.47 55,079.60 21,397.83 19,489.67 8,024.24 3,756.15 85.50 8,169.25 164.90 143,939.92 6.23 901.85 2,989.88 615.83 615.83 1,262.25 21,000.00 0.42 62,416.30 41.55 418.34 29,346.03 1/7 TRADES FOR RELEVANT PERIOD 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 26-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 27-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 28-Apr-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 1-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 2-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 3-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 4-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 5-May-23 8-May-23 8-May-23 8-May-23 8-May-23 8-May-23 8-May-23 8-May-23 8-May-23 Appendix J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES PLC J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. 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JPMORGAN CHASE BANK, N.A. J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED JPMORGAN CHASE BANK, N.A. JPMORGAN CHASE BANK, N.A. J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED J.P. MORGAN SECURITIES AUSTRALIA LIMITED Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Equity Buy Buy Buy Borrow Borrow Return Buy Sell Sell Buy Buy Buy Buy Sell Sell Sell Sell Sell Buy Sell Sell Sell Buy Buy Buy Buy Sell Sell Sell Buy Sell Buy Sell Buy Sell Buy Buy Sell Buy Buy Buy Buy Sell Sell Sell Buy Borrow Return Borrow Sell Sell Buy Buy Sell Buy Sell Sell Sell Buy Buy Buy Sell Sell Sell Sell Sell Sell Buy Buy Sell Buy Sell Sell Buy Buy Buy Sell Buy Buy Buy Buy Sell Sell Sell Sell Buy Sell Sell Buy Buy Sell Buy Sell Sell Buy Buy Buy Buy Buy Borrow Borrow Borrow Return Sell Buy Sell Sell Buy Sell Buy Sell Buy Sell Buy Buy Buy Buy Buy Buy Borrow Borrow Return Buy Buy Buy Sell Sell Sell Buy Buy 2,142 2,406 31,293 91,335 (91,335) 107,507 (13,143) (26,433) 89,061 10,000 130,000 20,000 (132) (241) (63) (3,606) (453) 684 (684) (16,784) (37,080) 47,446 50,000 210,000 40,000 (1,078) (16) (113,825) 40,503 (7,035) 3,962 (29,299) 222 (223) 54,809 18,852 (3,959) 8,633 10,000 70,000 112 (56,433) (3,962) (75,926) 10,603 (200,000) 200,000 (3,962) (17) 62,130 40,000 (105,987) 12,461 (815) (322,613) (4,937) 121 6 6,293 (110,194) (2,310) (11,256) (17,590) (38,395) (17,075) 1,374 42 (1,416) 6 (10,000) (50,006) 109,205 1,208 1,610 (24) 100,000 120,196 5,632 66,485 (100,000) (8,414) (118,883) (1,001) 45,669 (6,724) (88,085) 4,114 58,826 (20,000) 15 (193) (25) 101,022 10,818 7,154 2,344 4,809 25,429 18,624 (44,053) (3,996) 99 (66) (446) 1,859 (1,417) 142,468 (1,244) 68,531 (374) 12,834 148,432 25 364 7,822 1,345 2,345 (2,345) 134,490 20,034 84,032 (30,000) (60,000) (10,000) 1,207 146,044 0.43 0.42 0.43 0.42 0.43 0.42 0.42 0.42 0.41 0.41 0.42 0.42 0.43 0.41 0.42 0.42 0.42 0.43 0.43 0.43 0.43 0.43 0.43 0.42 0.42 0.42 0.42 0.42 0.45 0.43 0.44 0.44 0.45 0.44 0.44 0.44 0.44 0.44 0.42 0.45 0.45 0.45 0.45 0.47 0.47 0.46 0.46 0.47 0.48 0.47 0.47 0.47 0.47 0.45 0.47 0.47 0.47 0.47 0.47 0.47 0.47 0.47 0.46 0.47 0.47 0.46 0.46 0.47 0.47 0.47 0.47 0.47 0.47 0.47 0.47 0.47 0.46 0.47 0.48 0.48 0.48 0.47 0.48 0.48 0.48 0.47 0.48 0.48 0.48 0.47 0.48 0.48 0.48 0.50 0.49 0.49 0.50 0.49 0.49 0.49 0.50 0.50 0.50 0.48 0.50 0.48 0.48 0.50 0.50 0.52 0.53 0.52 0.52 0.52 0.52 0.52 0.52 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 910.35 1,010.52 13,299.53 45,152.94 5,585.78 11,096.73 36,977.24 4,150.88 53,867.06 8,289.04 55.44 101.22 26.78 1,478.46 190.26 287.28 287.28 7,133.20 15,837.65 20,501.70 21,553.45 90,459.60 17,198.80 452.76 6.72 47,806.50 17,011.26 2,954.70 1,763.09 12,681.08 96.57 98.68 24,664.05 8,373.70 1,722.17 3,825.92 4,441.41 31,096.31 47.04 25,112.69 1,763.09 33,787.07 4,718.34 1,862.14 7.99 28,606.27 18,200.00 50,099.00 5,944.07 380.20 151,475.51 2,302.89 56.87 2.67 2,957.71 51,791.18 1,085.70 5,290.32 8,267.30 18,045.65 8,025.25 638.91 19.43 658.44 2.82 4,636.04 23,192.23 51,326.35 567.76 756.70 11.28 47,000.00 56,492.12 2,647.04 31,247.95 47,000.00 3,900.49 55,875.01 480.48 21,904.04 3,227.52 41,399.95 1,985.01 28,286.95 9,599.46 7.05 91.68 12.00 48,490.56 5,096.48 3,433.92 1,125.12 2,308.32 1,998.00 48.02 32.01 221.89 901.62 687.25 69,696.91 622.00 34,034.96 187.00 6,178.92 74,216.00 12.00 174.72 3,911.00 672.50 69,934.80 10,517.85 44,036.47 15,689.79 31,385.70 5,231.55 627.64 75,942.88 2/7 TRADES FOR RELEVANT PERIOD 8-May-23 8-May-23 8-May-23 8-May-23 8-May-23 8-May-23 9-May-23 9-May-23 9-May-23 9-May-23 9-May-23 9-May-23 9-May-23 9-M

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