Change of Director’s Interest Notice

17 June 2021

Mr James Gerraty
Manager Issuers, Melbourne
ASX Limited
Level 4, North Tower Rialto
525 Collins Street
MELBOURNE VIC 3000


Dear Mr Gerraty

Appendix 3Y – Mr Shayne Elliott

The attached Appendix 3Y relates to the sale of 7 shares on 23 March 2021 and 8 shares on
25 May 2021 by a custodian company of Netwealth Investments Limited (Netwealth) in the
course of providing services for ANZ Private. ANZ Private manages superannuation and
investment holdings for Mr Elliott.

The shares were sold due to an administrative error and the subsequent application of an
automated sale process to ensure coverage of Netwealth platform fees. The sales occurred
without Mr Elliott’s knowledge or approval.

Mr Elliott was not advised of the trades until last week upon their being identified by ANZ
Private.

ANZ has procedures in place to meet its obligations under ASX Listing Rule 3.19A and the
obligations of its directors under section 205G of the Corporations Act. In the case of Mr
Elliott, these procedures have now be en supplemented in the case of investments held by him
through the Netwealth platform to ensure that ANZ shares can no longer be the subject of an
automated sale.

Yours sincerely




Simon Pordage
Company Secretary

Approved for distribution by ANZ’s Continuous Disclosure Committee











Legal & Corporate Governance
ANZ Centre Melbourne, Level 9, 833 Collins St, Docklands, VIC 3008
Phone: +61 3 9273 5555 | Fax: +61 3 8542 5252
www.anz.com
Australia and New Zealand Banking Group Limited ABN 11 005 357 522

Appendix 3Y
Change of Director’s Interest Notice



+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 1

Rule 3.19A.2
Appendix 3Y

Change of Director’s Interest Notice

Information or documents not available now must be given to ASX as soon as available. Information and
documents given to ASX become ASX’s property and may be made public.
Introduced 30/09/01 Amended 01/01/11

Name of entity
Australia and New Zealand Banking Group Limited
ABN
11 005 357 522

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for
the director for the purposes of section 205G of the Corporations Act.

Name of Director
Shayne Cary Elliott
Date of last notice
23 December 2020

Part 1 - Change of director’s relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should
be disclosed in this part.

Ordinary Shares:

Direct or indirect interest
Direct – 1,260
Indirect – 358,534
Nature of indirect interest
(including registered holder)
Note: Provide details of the circumstances giving rise to the relevant
interest.

• ANZEST Pty Ltd
• ANZ Employee Share Acquisition
Plan

• Elliott Pty Ltd as trustee for Elliott
Family Trust

• Elliott No 3 Pty Ltd <S & N Elliott S/F A/C>

• Netwealth Investments Limited
• Elliott Pty Ltd as trustee for Elliott
Family Trust (229,165 shares)
• Elliott No 3 Pty Ltd <S & N Elliott
S/F A/C> (58,487 shares)





Ordinary Shares 70,882



Ordinary Shares 0


Ordinary Shares 0

Ordinary Shares 287,652

Appendix 3Y
Change of Director’s Interest Notice



+ See chapter 19 for defined terms.

Appendix 3Y Page 2 01/01/2011

Date of change
a. 23 March 2021
b. 25 May 2021
No. of securities held prior to change
359,794
Class
Ordinary Shares
Number acquired (indirect)

0
Number acquired (direct)
0
Number disposed (indirect)
a. 7 Ordinary Shares

b. 8 Ordinary Shares
Number disposed (direct)
0
Value/Consideration
Note: If consideration is non-cash, provide details and estimated
valuation

a. $196.84

b. $226.40
No. of securities held after change

Direct – Unchanged

Indirect
• ANZEST Pty Ltd
• ANZ Employee Share Acquisition
Plan - Unchanged

• Netwealth Investments Limited
• Elliott Pty Ltd as trustee for Elliott
Family Trust - Unchanged
• Elliott No 3 Pty Ltd <S & N Elliott
S/F A/C> (decreased by 15)

Total of interest



1,260




70,882




229,165

58,472


359,779

Nature of change
Example: on-market trade, off-market trade, exercise of options,
issue of securities under dividend reinvestment plan, participation in
buy-back
15 ordinary shares were sold by Netwealth
Investments Limited (Netwealth) due to an
administrative error and the subsequent
application of an automated sale process to
ensure coverage of Netwealth platform fees.
The sales occurred without Mr Elliott’s
knowledge or approval. Mr Elliott was not
advised of the trades until last week upon
their being identified by ANZ Private.

Appendix 3Y
Change of Director’s Interest Notice



+ See chapter 19 for defined terms.

01/01/2011 Appendix 3Y Page 3


Options over unissued ordinary shares:

Direct or indirect interest
Direct – 499,749
Indirect – Nil
Date of change
N/A
No. of options held prior to change
499,749
Class
Options over unissued Ordinary Shares
Number of options acquired (direct)
N/A
Number of options disposed (direct)
N/A
Value/Consideration
Note: If consideration is non-cash, provide details and estimated
valuation

N/A
No. of options held after change

Direct – unchanged

Indirect – unchanged


499,749
Nil
Nature of change
Example: on-market trade, off-market trade, exercise of options,
issue of securities under dividend reinvestment plan, participation in
buy-back
N/A

Part 2 – Change of director’s interests in contracts - Nil

Part 3 –
+
Closed period

Were the interests in the securities or contracts
detailed above traded during a
+
closed period
where prior written clearance was required?
Yes.
If so, was prior written clearance provided to
allow the trade to proceed during this period?
No. The shares were sold due to
an administrative error and the
subsequent application of an
automated sale process to ensure
coverage of Netwealth platform
fees. The sales occurred without
Mr Elliott’s knowledge or
approval. Mr Elliott was not
advised of the trades until last
week upon their being identified
by ANZ Private and so no prior
written clearance was sought.
If prior written clearance was provided, on what
date was this provided?
N/A