Annexure B, D & E
Information Classification: Limited Access

603 page 1/2 15 July 2001

Form 603

Corporations Act 2001

Section 671B

Notice of initial substantial holder

ToCompany Name/Scheme

APPEN LIMITED

ACN/ARSN

138 878 298

only1. Details of substantial holder (1)

Name

State Street Corporation and subsidiaries named in Annexures to this form

use

ACN/ARSN (if applicable)

The holder became a substantial holder on

03/08/2022

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:

personal

Class of securities (4)

Number of securities

Person's votes (5)

Voting power (6)

Ordinary

6,448,913

6,448,913

5.22%

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

Annexure A

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

Registered holder of

Person entitled to be

Class and number

interest

securities

registered as holder (8)

of securities

Annexure A

For

Holder of relevant interest

Date of acquisition

Consideration (9)

Class and number of securities

Cash

Non-Cash

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:

603 page 1/2 15 July 2001

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

Annexure A

7. Addresses

The addresses of persons named in this form are as follows:

only

Name

Address

Annexure C

Signature

use

print name

Alok Maheshwary

Capacity: Authorised signatory

Digitally signed by Alok Maheshwary

sign here

Alok Maheshwary Date: 2022.08.05 08:38:31 +05'30'

date 05/08/2022

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 7 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 total number of votes attached to all the voting shares in the company or voting interests in the scheme (if any) that the person or an associate

has a relevant interest in.

(6)

The person's votes divided by the total votes in the body corporate or scheme multiplied by 100.

(7)

Include details of:

personal

(a)

any relevant agreement or other circumstances by which the relevant interest was acquired. 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.

(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)

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

For

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.

Information Classification: Limited Access

This is Annexure A referred to in Form 603 Notice of initial substantial holder

Annexure A

Alok

Digitally signed by

Alok Maheshwary

Maheshwary

Date: 2022.08.05

08:38:53 +05'30'

______________________________________ 05 Aug 2022

Alok Maheshwary

Authorised Signatory

  1. Details of relevant interests
  2. Details of present registered holders
  1. Associates

only

Holder of relevant interest

Nature of Relevant Interest

Registered Holder of securities

Person Entitled to be registered as holder

Class and number of Securities

Nature of Association

(Section 3, 4 and 6)

(Section 3)

(Section 4)

(Section 4)

(Section 3 and 4)

(Section 6)

STATE STREET GLOBAL ADVISORS TRUST COMPANY

Power to control the exercise of a right to vote

Northern Trust Company

n/a

Ordinary

39,764

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS TRUST COMPANY

Power to control the exercise of a right to vote

State Street Bank and Trust Co

n/a

Ordinary

606,995

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS TRUST COMPANY

Power to control the exercise of a right to vote

JPMorgan AG

n/a

Ordinary

19,489

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS TRUST COMPANY

Power to control the exercise of a right to vote

The Bank of New York Mellon

n/a

Ordinary

48,623

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

SSGA FUNDS MANAGEMENT, INC.

Power to control the exercise of a right to vote

State Street Bank and Trust Co

n/a

Ordinary

70,829

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS EUROPE LIMITED

Power to control the exercise of a right to vote

Bank of New York Mellon

n/a

Ordinary

7,909

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

use

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS EUROPE LIMITED

Power to control the exercise of a right to vote

State Street Bank and Trust Co

n/a

Ordinary

17,100

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS LIMITED

Power to control the exercise of a right to vote

Northern Trust Company

n/a

Ordinary

920

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS LIMITED

Power to control the exercise of a right to vote

State Street Bank and Trust Co

n/a

Ordinary

183,877

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS LIMITED

Power to control the exercise of a right to vote

JPMorgan AG

n/a

Ordinary

10,115

Subsidiary of State Street

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS, AUSTRALIA,

Power to control the exercise of a right to vote

Northern Trust Company

n/a

Ordinary

366,495

Subsidiary of State Street

LIMITED

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

personal

STATE STREET GLOBAL ADVISORS, AUSTRALIA,

Power to control the exercise of a right to vote

State Street Bank and Trust Co

n/a

Ordinary

1,014,745

Subsidiary of State Street

LIMITED

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET GLOBAL ADVISORS, AUSTRALIA,

Power to control the exercise of a right to vote

JPMorgan AG

n/a

Ordinary

14,199

Subsidiary of State Street

LIMITED

attached to securities and/or the power to dispose of

Corporation

securities as investment manager or trustee

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

AWARE SUPER PTY LTD AS TRUSTEE OF THE

AWARE SUPER PTY LTD AS TRUSTEE OF THE

Ordinary

743,800

Subsidiary of State Street

AWARE SUPER

AWARE SUPER

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

SEA1

SEA1

Ordinary

1,229

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

AMERICAN CENTURY INVESTMENT

AMERICAN CENTURY INVESTMENT

Ordinary

271

Subsidiary of State Street

MANAGEMENT, INC.

MANAGEMENT, INC.

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

CALSTRS

CALSTRS

Ordinary

125,751

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

DIMENSIONAL FUND ADVISORS

DIMENSIONAL FUND ADVISORS

Ordinary

28,596

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

INTERNATIONAL BUSINESS MACHINES

INTERNATIONAL BUSINESS MACHINES

Ordinary

19,528

Subsidiary of State Street

Relevant interest under section 608(8A) being the

CORPORATION

CORPORATION

Corporation

For

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

INTERNATIONAL PAPER CO

INTERNATIONAL PAPER CO

Ordinary

129,441

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

KAISER FOUNDATION HOSPITALS

KAISER FOUNDATION HOSPITALS

Ordinary

1,411

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

KAISER PERMANENTE GROUP TRUST

KAISER PERMANENTE GROUP TRUST

Ordinary

4,960

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

M FUND, INC.

M FUND, INC.

Ordinary

2,342

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

OREGON STATE TREASURY

OREGON STATE TREASURY

Ordinary

4,382

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

Information Classification: Limited Access

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

SSGA

SSGA

Ordinary

106,381

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

SSGA FUNDS

SSGA FUNDS

Ordinary

15,750

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

only

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

SSGA SPDR INDEX SHARE FUNDS

SSGA SPDR INDEX SHARE FUNDS

Ordinary

47,941

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

STATE STREET GLOBAL ADVISORS FUNDS

STATE STREET GLOBAL ADVISORS FUNDS

Ordinary

6,255

Subsidiary of State Street

MANAGEMENT LIMITED

MANAGEMENT LIMITED

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

TEACHER RETIREMENT SYSTEM OF TEXAS

TEACHER RETIREMENT SYSTEM OF TEXAS

Ordinary

2,710,619

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

For personal use

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

THE REGENTS OF THE UNIVERSITY OF CALIFORNIA

THE REGENTS OF THE UNIVERSITY OF

Ordinary

97,696

Subsidiary of State Street

CALIFORNIA

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

STATE STREET BANK AND TRUST COMPANY

For Lent securities:

WA STATE INVESTMENT BOARD

WA STATE INVESTMENT BOARD

Ordinary

1,500

Subsidiary of State Street

Corporation

Relevant interest under section 608(8A) being the

holder of securities subject to an obligation to return

under a securities lending agreement. State Street

Bank and Trust Company has lent the securities and

retains a relevant interest

Information Classification: Limited Access

This is Annexure B referred to in Form 603 Notice of initial substantial holder

Annexure B

Alok

Digitally signed by

Alok Maheshwary

Maheshwary

Date: 2022.08.05

08:40:02 +05'30'

______________________________________ 05 Aug 2022

Alok Maheshwary

Authorised Signatory

5. Consideration

only

Holder of relevant interest

Date of Acquisition

Nature of transaction

Consideration

Class and number of Securities affected

STATE STREET GLOBAL ADVISORS, INC.

20-May-22

In Specie Contribution

n/a

Ordinary

40

STATE STREET GLOBAL ADVISORS, INC.

7-Jul-22

In Specie Contribution

n/a

Ordinary

458

STATE STREET GLOBAL ADVISORS, INC.

6-Jul-22

In Specie Contribution

n/a

Ordinary

40

STATE STREET GLOBAL ADVISORS, INC.

7-Apr-22

Purchase

6.67

Ordinary

1,335

STATE STREET GLOBAL ADVISORS, INC.

6-Jun-22

In Specie Contribution

n/a

Ordinary

40

STATE STREET GLOBAL ADVISORS, INC.

27-Jul-22

In Specie Contribution

n/a

Ordinary

20

STATE STREET GLOBAL ADVISORS, INC.

2-Aug-22

In Specie Contribution

n/a

Ordinary

40

STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED

17-May-22

In Specie Contribution

n/a

Ordinary

720

STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED

11-May-22

In Specie Contribution

n/a

Ordinary

900

STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED

23-May-22

In Specie Contribution

n/a

Ordinary

1,080

STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED

26-May-22

In Specie Contribution

n/a

Ordinary

6,456

STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED

9-Jun-22

In Specie Contribution

n/a

Ordinary

450

STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED

16-Jun-22

In Specie Contribution

n/a

Ordinary

360

STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED

21-Jul-22

Purchase

6.37

Ordinary

797

use

STATE STREET BANK AND TRUST COMPANY

21-Jun-22

Return of securities under a securities

n/a

Ordinary

(50,000)

loan from THE BANK OF NEW YORK

MELLON - Refer Part A of Annexure E

STATE STREET BANK AND TRUST COMPANY

21-Jun-22

Return of securities under a securities

n/a

Ordinary

(50,000)

loan by MIZUHO SECURITIES CO LTD -

Refer Part B of Annexure E

STATE STREET BANK AND TRUST COMPANY

19-May-22

Transfer of title of securities to secure a

n/a

Ordinary

1,316

securities loan from THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

20-May-22

Transfer of title of securities to secure a

n/a

Ordinary

65

personal

securities loan from THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

23-May-22

Return of securities provided to secure a

n/a

Ordinary

(13)

securities loan to THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

24-May-22

Return of securities provided to secure a

n/a

Ordinary

(14)

securities loan to THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

25-May-22

Return of securities provided to secure a

n/a

Ordinary

(1,354)

securities loan to THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

19-May-22

Transfer of title of securities to secure a

n/a

Ordinary

2,042

securities loan from THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

20-May-22

Transfer of title of securities to secure a

n/a

Ordinary

47

securities loan from THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

23-May-22

Transfer of title of securities to secure a

n/a

Ordinary

20

securities loan from THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

24-May-22

Transfer of title of securities to secure a

n/a

Ordinary

3

securities loan from THE MACQUARIE

For

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

25-May-22

Return of securities provided to secure a

n/a

Ordinary

(2,111)

securities loan to THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

19-May-22

Transfer of title of securities to secure a

n/a

Ordinary

31,642

securities loan from THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

20-May-22

Return of securities provided to secure a

n/a

Ordinary

(112)

securities loan to THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

23-May-22

Return of securities provided to secure a

n/a

Ordinary

(7)

securities loan to THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

24-May-22

Transfer of title of securities to secure a

n/a

Ordinary

12

securities loan from THE MACQUARIE

GROUP - Refer Part B of Annexure D

STATE STREET BANK AND TRUST COMPANY

25-May-22

Return of securities provided to secure a

n/a

Ordinary

(31,535)

securities loan to THE MACQUARIE

GROUP - Refer Part B of Annexure D

Information Classification: Limited Access

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Appen Ltd. published this content on 05 August 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 06 August 2022 09:33:03 UTC.