NZX Shareholder Metrics – January 2021

NZX Limited - Monthly Shareholder Metrics
January 2021
These shareholder metrics represent the key operations of NZX's business.
Core Markets
NZX Listed IssuersJan 2021Change YoYCapital RaisingJan 2021YTDChange YoY
Total equity securities131-Total capital raisings $260 m$260 m-64.0%
Total fund securities498.9%
Total retail debt securities1422.2%New Capital Listed
Total wholesale debt securities860.0%Total capital listed by all issuers---100.0%
Total other securities4-
Total listed securities3343.1%Equity listings---
Fund listings---
Retail debt listings---100.0%
Total NZX Main Board equity issuers129-Wholesale debt listings---
Total NZX Main Board fund issuers498.9%
Total NZX Debt Market retail debt issuers51-
Total NZX Debt Market wholesale debt issuers2-Secondary Capital Raisings
Total other issuers433.3%Total capital raised by all issuers$260 m$260 m16.8%
Total unique issuers2063.0%
Total equity raised - NZ issuers$4 m$4 m-56.5%
Total equity raised - dual or foreign issuer$1 m$1 m-
Market CapitalisationJan 2021Change YoY% of GDP
Total funds raised - NZ issuers$216 m$216 m120.0%
Total market capitalisation$233,625 m13.9%76.9%Total funds raised - dual or foreign issuer$39 m$39 m-65.6%
Total retail debt raised---100.0%
All equity$186,074 m13.5%61.3%Total wholesale debt raised---
All funds$6,431 m24.3%2.1%
All other$37 m492.2%0.0%
Total NZX Main Board$192,542 m13.9%63.4%Total number of secondary capital raising events33133130.3%
Equity issuers - capital raised < $10m222257.1%
Retail debt$34,221 m4.7%11.3%Equity issuers - capital raised ≥ $10m < $100m---
Green bonds$2,400 m166.7%0.8%Equity issuers - capital raised ≥ $100m---
Wholesale debt$4,462 m80.8%1.5%Fund issuers - capital raised30930929.3%
Total NZX Debt Market$41,083 m14.0%13.5%Retail debt issuers - capital raised---100.0%
Wholesale debt issuers - capital raised---
Cash MarketJan 2021Change YoY
Total value traded$3,621 m9.6%
DerivativesJan 2021Change YoY
Daily average value traded$191 m21.1%Futures - total lots traded22,5816.0%
On-market value traded$2,547 m53.0%Options - total lots traded500-92.8%
% of value on-market70.3%39.7%Total derivatives lots traded23,081-18.2%
Total trades1,125,649126.6%Total derivatives lots traded - YTD23,081-18.2%
Daily average trades59,245150.5%Open interest58,33718.4%
Notional value traded ($USD)$134 m3.9%
Options to futures ratio2.2%-93.2%
Total Equity TransactionsBlock trade %0.0%-
Total trades1,122,935127.2%
Value traded$3,525 m10.3%
Derivatives Total Lots Traded 2019 / 2020 / 2021
% of value on-market71.4%39.1%
Average on-market trade size$2,249-32.6%
Cumulative Numbers - YTD
Number of trades1,125,649126.6%
Total value traded$3,621 m9.6%
% of value on-market70.3%39.7%
Total Debt Transactions
Total trades2,7147.4%
Value traded $96 m-11.9%

NZX Indices PerformanceJan 2021Change YoYClearing House / DepositoryJan 2021Change YoY
S&P/NZX 50 Index (Gross)13,12712.0%Gross value of cleared trades over month$3,629 m9.6%
S&P/NZX 50 Index (Capital)5,5019.6%Collateral held at month end$66 m14.0%
S&P/NZX 50 Portfolio Index8,15712.9%Depository transactions7,33637.0%
S&P/NZX Primary Sector Index15,063-8.9%Assets under custody in depository$4,972 m36.1%
S&P/NZX NZ Fixed Interest Composite Index1283.2%Value of stock lent over month*--100.0%
S&P/NZX A-Grade Bond Index5,9564.0%
* Due to changes in custodian, NZX Clearing ceased offering stock lending to Participants in
March 2020. Smartshares is completing its own bilateral lending programme.


Direct Data ProductsJan 2021Change YoYDairy Data SubscriptionsJan 2021Change YoY
Proprietary security subscription products*309-0.3%Dairy data subscriptions*472-5.4%
- products ≥ $3,000 p.a.*1100.9% - products ≥ $1,500 p.a. *104-10.3%
- products < $3,000 p.a.*199-1.0% - products < $1,500 p.a. *368-3.9%
Wholesale DataJan 2021Change YoYEnergy ContractsJan 2021Change YoY
Terminal numbers - professional6,2084.1%Operating / Technology contracts170.0%
Terminal numbers - retail2,26963.7%- contracts ≥ $500k p.a.40.0%
Licences - value ≥ $20k p.a.5527.9%- contracts < $500k p.a.130.0%
Licences - value < $20k p.a.76-3.8%
Smartshares
Jan 2021Change YoY
Total external funds under management$5,307 m30.3%
Scheme FUMJan 2021Change YoY
SuperLife Kiwisaver$1,209 m16.6%
SuperLife Workplace Savings$1,359 m3.7%
Smartshares Exchange Traded Funds - External$2,084 m49.4%
Smartshares Exchange Traded Funds - Total (external and internal)$4,637 m27.1%
* Metrics reported by NZX for Smartshares and Superlife have changed as Smartshares has started to support institutional investors with both managed funds and
separately managed portfolios.
Other MetricsJan 2021Change YoY
Units on issue1,590 m23.6%
Value of stock lent over month*$239 m-
* Due to changes in custodian, Smartshares ceased offering securities through the NZX Clearing centralised clearing book in March 2020 and is now lending
exclusively through its own stock lending programme.
Wealth Technologies
Funds under administration$7,232 m207.7%
Notes
1. All figures are measured at the end of the last trading day of each month unless otherwise stated.
Change refers to the change since the same period last year unless otherwise stated.

2. Equity market capitalisation includes all securities quoted on the NZX Main Board (NZSX).
With an overseas domiciled Issuer, the market capitalisation represents the amount that is held in New Zealand.

3. Market capitalisation for the NZX Debt Market is the total nominal (face) value of all listed securities, excluding New Zealand Government stock.

4. Funds include exchange traded funds, managed funds, listed investment companies and trusts.

5. "Other" securities include options, warrants and options quoted on the NZX Main Board (NZSX).

6. Please note these operational statistics are based on NZX’s internal records, which are unaudited.
Differences may arise between this data and that disclosed in subsequent audited financial statements.
Differences may also arise between this data and the previously reported data due to rounding and classification restatements.

To enquire about information listed on this sheet, or to find out more about NZX products or services, please email: data@nzx.com