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BEACON LIGHTING GROUP LIMITED — Major Shareholding Notification 2020
Feb 9, 2020
64534_rns_2020-02-09_1e80809e-72ab-46cd-9886-ffd53c568bfc.pdf
Major Shareholding Notification
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Form603
Form 603
Corporations Act 2001 Section 671B Notice of initial substantial holder
To: Company Name/Scheme: BEACON LIGHTING GROUP LIMITED ACN/ARSN: 164 122 785
1. Details of substantial holder Name Mitsubishi UFJ Financial Group, Inc.
The holder became a substantial holder on: 05/02/2020 The holder became aware on: 07/02/2020
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 had a relevant interest in on the date the substantial holder became a substantial holder are as follows:
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Class of securities Number of securities Person's votes Voting power (%)
Fully Paid ordinary shares 11,224,018 11,224,018 5.10%
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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 | Class and number of securities |
|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that First Sentier | 7,981,313 Fully paid ordinary shares |
| Investors Holdings Pty Limited has a relevant | ||
| interest in under section 608(3) of the | ||
| Corporations Act as Mitsubishi UFJ Financial | ||
| Group, Inc. has voting power of 100% in First | ||
| Sentier Investors Holdings Pty Limited. | ||
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanley | 6,414 Fully paid ordinary shares |
| has a relevant interest in under section 608(3) of | ||
| the Corporations Act as Mitsubishi UFJ Financial | ||
| Group, Inc. has voting power of over 20% in | ||
| Morgan Stanley. | ||
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that First Sentier | 3,236,291 Fully paid ordinary shares |
| Investors Holdings Pty Limited has a relevant | ||
| interest in under section 608(3) of the | ||
| Corporations Act as Mitsubishi UFJ Financial | ||
| Group, Inc. has voting power of 100% in First | ||
| Sentier Investors Holdings Pty Limited. |
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 interest |
Registered holder of securities |
Person entitled to be registered as holder |
Class and number of securities |
|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | Citibank N A Hong Kong | 2,405,762 Fully paid ordinary shares |
|
| Mitsubishi UFJ Financial Group, Inc. | Citicorp Nominees Pty Limited (Australia) |
5,575,551 Fully paid ordinary shares |
|
| Mitsubishi UFJ Financial Group, Inc. | Citibank N A Hong Kong | 2,069,509 Fully paid ordinary shares |
|
| Mitsubishi UFJ Financial Group, Inc. | JPMorgan (UK) | 376,582 Fully paid ordinary shares |
|
| Mitsubishi UFJ Financial Group, Inc. | National Custodian Services | 790,200 Fully paid ordinary shares |
|
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Australia Securities (Nominee) Pty Limited |
6,414 Fully paid ordinary shares |
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:
| Holder of relevant interest |
Date of acquisition | Consideration | Class and number of securities | |
|---|---|---|---|---|
| Cash | Non-cash | |||
| See annexure B to this notice |
6. Associates
Page 1
Form603
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
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Name and ACN/ARSN (if applicable) Nature of association
See annexure A to this notice Each company referred to is an associate of Mitsubishi UFJ Financial Group, Inc. under section 12 of
the Corporations Act
7. Addresses
The addresses of persons named in this form are as follows:
Name Address
Mitsubishi UFJ Financial Group, Inc. 2-7-1, Marunouchi, Chiyoda-ku, Tokyo 100-8330, Japan
8. Signature
Dated 10 February 2020
Ryuichiro Sakuma - Authorised Signatory
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Page 2
AnnexureA
Annexure A
This is annexure A of 5 pages referred to in Form 603, Notice of initial substantial holder dated 10 February 2020.
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| Authorised signatory Ryuichiro Sakuma |
Dated 10 | February 2020 |
|---|---|---|
| SCHEDULE | ||
| MUFG Bank, Ltd. | ||
| Mitsubishi UFJ Trust and Banking Corporation | ||
| Mitsubishi UFJ Securities Holdings Co., Ltd. | ||
| MU Business Engineering, Ltd. | ||
| The Mitsubishi UFJ Factors Limited | ||
| Mitsubishi UFJ Jinji Service Co., Ltd. | ||
| MU Techno-service Co., Ltd. | ||
| Tokyo Credit Service, Ltd. | ||
| Tokyo Associates Finance Corp. | ||
| MU Business Service Co., Ltd. | ||
| Mitsubishi UFJ Loan Business Co.,Ltd. | ||
| Mitsubishi UFJ Information Technology, Ltd. | ||
| MU Center Service Tokyo Co., Ltd. | ||
| MU Center Service Nagoya Co., Ltd. | ||
| MU Center Service Osaka Co., Ltd. | ||
| MU Business Aid Co., Ltd. | ||
| MU Property Reserch Company Limited | ||
| Mitsubishi UFJ Home Loan CREDIT CO., LTD. | ||
| The Diamond Home Credit Company Limited | ||
| Mitsubishi UFJ Reserch & Consulting Co., Ltd. | ||
| MU Frontier Servicer Co., Ltd. | ||
| Otemachi Guarantee Co., Ltd. | ||
| GD Holdings Company Limited | ||
| MU Loan Administration Support Co., Ltd. | ||
| MU Communications Co.,Ltd. | ||
| Japan Electronic Monetary Claim Organization | ||
| MU Business Partner Co., Ltd. | ||
| MUT Business Outsourcing Co., Ltd. | ||
| Mezzanine Solution II Limited Partnership | ||
| Mezzanine Solution III Limited Partnership | ||
| Mitsubishi UFJ Capital Co., Ltd. | ||
Mitsubishi UFJ CapitalⅢ, Limited Partnership |
||
Mitsubishi UFJ CapitalⅣ, Limited Partnership |
||
Mitsubishi UFJ CapitalⅤ, Limited Partnership |
||
Mitsubishi UFJ CapitalⅥ, Limited Partnership |
||
Mitsubishi UFJ CapitalⅦ, Limited Partnership |
||
| Mitsubishi UFJ Life Science 1, Limited Partnership | ||
| Mitsubishi UFJ Life Science 2, Limited Partnership | ||
| Tohoku Senary Industry Support, Limited Partnership | ||
| OiDE Fund Investment Limited Partnership | ||
| Mitsubishi UFJ Personal Financial Advisers Co., Ltd. | ||
| Mitsubishi UFJ Financial Partners Co.,Ltd. | ||
| The Mitsubishi Asset Brains Company, Limited | ||
| BOT Lease Co., Ltd. | ||
| The Chukyo Bank, Ltd. | ||
| Nippon Mutual Housing Loan Co., Ltd. | ||
| JM Real Estate Co., Ltd. | ||
| Jibun Bank Corporation | ||
| JACCS CO.,LTD. | ||
| JALCARD Inc. | ||
| Yume Shokei Fund No.2 | ||
| Yume Shokei Fund No.3 | ||
| Marunouchi Capital Fund II Limited Partnership | ||
M・U・Trust Sougou Kanri Co., Ltd. |
||
| Mitsubishi UFJ Trust Business Co., Ltd. | ||
| Ryoshin Data Co., Ltd. | ||
| Mitsubishi UFJ Trust Systems Co., Ltd. | ||
| Mitsubishi UFJ Trust Investment Technology Institute Co., Ltd. | ||
| Mitsubishi UFJ Trust Hosyo Co., Ltd. | ||
M・U・Trust・Apple Planning Company, Ltd. |
Page 3
AnnexureA
Mitsubishi UFJ Real Estate Services Co., Ltd. Mitsubishi UFJ Daiko Business Co., Ltd. The Master Trust Bank of Japan, Ltd. MU Investments Co., Ltd. Japan Shareholder Services Ltd. Mitsubishi UFJ Kokusai Asset Management Co., Ltd. Tokumei-Kumiai (CPI) Tokumei-Kumiai (GII) Tokumei-Kumiai (Gate Bridge 1) Tokumei-Kumiai (CENTOMILIARDO) Tokumei-Kumiai (MEET) Tokumei-Kumiai (FIELD) Ippan Shadan Houjin Leone Jointly Managed Monetary Trust Fund (Fund Number:550001) MU Trust Property Management Co., Ltd. Tokumei-Kumiai (RICE) TOKKINGAI (Fund Number.900338) TOKKINGAI (Fund Number.900327) TOKKINGAI (Fund Number.900344) AMP Capital Investors KK MM Partnership MUS Information Systems Co., Ltd. MUS Business Service Co., Ltd. Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. Mitsubishi UFJ Morgan Stanley PB Securities Co., Ltd. kabu.com Securities Co., Ltd. Morgan Stanley MUFG Securities Co., Ltd. Mitsubishi UFJ NICOS Co., Ltd. Card Business Service Co.,Ltd. MU NICOS Business Service Co., Ltd. MU NICOS Credit Co.,Ltd. Ryoshin DC Card Company Ltd. JMS Co., Ltd. Paygent Co., Ltd. JA Card Co., Ltd ACOM CO., LTD. IR Loan Servicing, Inc. MU Credit Guarantee Co., Ltd. Japan Digital Design, Inc. Crowd Money Inc. MUMEC Visionary Design, Ltd. Global Open Network, Inc. Global Open Network Japan, Inc. MUFG Innovation Partners Co., Ltd. MUFG Innovation Partners No.1 Investment Partnership Mitsubishi Research Institute DCS Co.,Ltd. HR Solution DCS Co.,Ltd. Mitsubishi UFJ Lease & Finance Company Limited Hitachi Capital Corporation Nihombashi TG Jigyo Kyodo Kumiai NIHOMBASHI TG SERVICE CO., LTD. SHIN-NIHOMBASHI TSUSHO CO., LTD. Solution Design Co.,ltd. Nippon Record Keeping Network Co., Ltd. Banco MUFG Brasil S.A. 9808680 Canada Inc. BTMU (Curacao) Holdings N.V. MUFG Bank (Europe) N.V. MUFG Business Services (Holland) B.V. MUFG Funding (UK) Limited MUFG Europe Lease (Deutschland) GmbH MUFG Bank (Malaysia) Berhad MUFG North America International, Inc. MUFG Bank Mexico, S.A. MUFG Nominees (HK) Limited MUFG Nominees (UK) Limited MUFG Americas Holdings Corporation MUFG Union Bank, N.A. Union Bank of California Leasing, Inc. UBOC Community Development Corporation UnionBanc Investment Services, LLC Bankers Commercial Corporation UnionBanCal Equities, Inc. UnionBanCal Leasing Corporation UnionBanCal Mortgage Corporation Mills-Ralston, Inc. HighMark Capital Management, Inc. BCC OX I, Inc. BCC OX II, Inc.
Page 4
AnnexureA
SEMA OP9 LLC SEMA OP8 LLC MORGANTOWN OL6 LLC MORGANTOWN OL7 LLC MORGANTOWN OL5 LLC DICKERSON OL4 LLC TRL One A, LLC TRL One B, LLC TRL One, LP BM1,LLC UB Leasing Corporation Pacific Capital Statutory Trust I Shiloh Ⅳ Wind Project, LLC Shiloh Ⅳ Holdings Lessor Trust Green Union I Trust Green Union II Trust Green Union III Trust Tohlease Corporation MUFG Americas Funding Corporation MUFG Americas Financial & Leasing Corporation B-4 U.B. Vehicle Leasing, Inc. MUFG Americas Leasing Corporation MUFG Americas Financial Services, Inc. MUFG Americas Leasing (Canada) Corporation MUFG Americas Leasing & Finance, Inc. MUFG Americas Capital Leasing & Finance, LLC MUFG Americas Corporate Advisory, Inc. MUFG Americas LF Capital LLC MUFG Americas Capital Company MUFG Fund Services (USA) LLC MUFG Securities Americas Inc. MUFG Capital Analytics LLC MUFG Investor Services (US), LLC Intrepid Investment Bankers LLC Southern California Business Development Corporation Catalina Solar Holdings Lessor Trust Catalina Solar, LLC Morgan Stanley MUFG Loan Partners, LLC PT U Finance Indonesia PT. MU Research and Consulting Indonesia MU Research and Consulting (Thailand) Co., Ltd. MUFG Participation (Thailand) Co., Ltd. AO MUFG Bank (Eurasia) MUFG Bank (China), Ltd. BTMU Preferred Capital 8 Limited BTMU Preferred Capital 9 Limited BTMU Liquidity Reserve Investment Limited MUFG Bank Turkey Anonim Sirketi Bank of Ayudhya Public Company Limited Krungsri Ayudhya AMC Limited Krungsri Factoring Company Limited Ayudhya Development Leasing Company Limited Ayudhya Capital Auto Lease Public Company Limited Krungsriayudhya Card Company Limited General Card Services Limited Ayudhya Capital Services Company Limited Krungsri General Insurance Broker Limited Krungsri Life Assurance Broker Limited Krungsri Asset Management Company Limited Total Services Solutions Public Company Limited Ngern Tid Lor Company Limited Krungsri Securities Public Company Limited Siam Realty and Services Security Co.,Ltd. Krungsri Leasing Services Co., Ltd. Hattha Kaksekar Limited Krungsri Finnovate Co., Ltd. Tesco Card Services Limited BTMU Liquidity Reserve Investment 2 Limited BTMU Liquidity Reserve Investment 3 Limited PT Guna Dharma PT Bank Danamon Indonesia, Tbk. PT Adira Quantum Multifinance PT Adira Dinamika Multi Finance Tbk PT Asuransi Adira Dinamika BOT Lease (HK) Co., Ltd. PT Bumiputera - BOT Finance BOT Lease Holding Philippines, Inc. BOT Lease and Finance, Philippines, Inc. BOT Lease (Thailand) Co., Ltd.
Page 5
AnnexureA
MUFG Holding (Thailand) Co., Ltd. Bangkok MUFG Limited BOT Lease(Eurasia)LLC BOT Lease (Tianjin) Co., Ltd. BOTL Factoring (Shanghai) Co., Ltd. BOT LEASE MEXICO S.A. DE C.V. BOT FINANCE MEXICO, S.A. DE C.V., SOFOM, E.N.R. GOLDEN ASIA FUND VENTURES LTD. Lakefield Wind Project OP Trust Lakefield Wind Project, LLC Pacwind Holdings Lessor Trust Pacific Wind, LLC Vietnam Joint Stock Commercial Bank for Industry and Trade GOLDEN ASIA FUND II, L.P. Security Bank Corporation Mitsubishi UFJ Trust International Limited Mitsubishi UFJ Baillie Gifford Asset Management Limited Mitsubishi UFJ Investor Services & Banking (Luxembourg) S.A. MUFG Lux Management Company S.A. Mitsubishi UFJ Investment Services (HK) Limited Mitsubishi UFJ Asset Management (UK) Ltd. LUX J1 FUND MUFG Investor Services Holdings Limited MUFG Fund Services (Bermuda) Limited MUFG Fund Services (Cayman) Limited MUFG Fund Services (Cayman) Group Limited MUFG Fund Services (Ireland) Limited Fund Secretaries Limited MUFG Fund Services Limited MUFG Fund Services (Canada) Limited MUFG Fund Services (UK) Limited MUFG Fund Services (Halifax) Limited MUFG Fund Services (Singapore) Pte. Ltd. MUFG Fund Services (Hong Kong) Limited MUFG Alternative Fund Services (Cayman) Limited Firtown International Holdings Ltd. General Secretaries Ltd. AFS Controlled Subsidiary 1 Ltd. AFS Controlled Subsidiary 2 Ltd. AFS Controlled Subsidiary 3 Ltd. MUFG Alternative Fund Services (Ireland) Limited MUFG Alternative Fund Services (Jersey) Limited MUFG Jersey Management Company Limited MUFG Controlled Subsidiary 1 (Cayman) Limited SWS MU FUND MANAGEMENT CO.,LTD. SWSMU (SHANGHAI) ASSETS MANAGEMENT COMPANY LIMITED AMP Capital Holdings Limited MUFG Global Fund SICAV MUFG Securities EMEA plc MUFG Securities (Europe) N.V. MUFG Securities Asia (Singapore) Limited MUFG Securities Asia Limited Mitsubishi UFJ Wealth Management Bank (Switzerland), Ltd. MUFG Securities (Canada), Ltd. EASY BUY Public Company Limited ACOM CONSUMER FINANCE CORPORATION MUFG Capital Finance 8 Limited MUFG Capital Finance 9 Limited GOLDEN ASIA FUND, L.P. DCS Information Technology (Shanghai) Co., Ltd MRIDCS Americas, Inc. Morgan Stanley Purple Finance (Cayman) International Ltd. Bangkok Mitsubishi UFJ Lease Co., Ltd The California-Sansome Corporation First Sentier Investors Holdings Pty Limited First Sentier Investors (Australia) IP Holdings Pty Limited First Sentier Investors (Australia) Services Pty Limited CFSPAI EUROPE CO LIMITED (COMPANY CODE C41267) CFSPAI EUROPE HOLDCO LIMITED (COMPANY CODE C41260) First Sentier Investors (Australia) IM Ltd First Sentier Investors (Australia) Infrastructure Holdings Ltd First Sentier Investors (Australia) Infrastructure Managers Pty Ltd COLONIAL FIRST STATE INVESTMENT MANAGERS (UK) LIMITED (COMPANY NO. 00153197) First Sentier Investors (Australia) RE Ltd EDIF II GP S.A.R.L. (COMPANY NO. B204413) FIRST STATE EUROPEAN DIVERSIFIED INFRASTRUCTURE S.A.R.L. (COMPANY NO. B134314) FIRST STATE INFRASTRUCTURE MANAGERS (INTERNATIONAL) LIMITED (COMPANY NO. 298444) FIRST STATE INVESTMENT MANAGEMENT (UK) LIMITED (COMPANY NO. SC047708)
Page 6
AnnexureA
First Sentier Investors Asia Holdings Limited FIRST STATE INVESTMENT SERVICES (UK) LIMITED (COMPANY NO. 03904320) FIRST STATE INVESTMENTS (HONG KONG) LIMITED (CR NO. 0206616) FIRST STATE INVESTMENTS (IRELAND) LIMITED (COMPANY NO. 629188) FIRST STATE INVESTMENTS (JAPAN) LIMITED (COMPANY NUMBER 0104-01-093090) FIRST STATE INVESTMENTS (SINGAPORE) (COMPANY NO. 02294743) FIRST STATE INVESTMENTS (UK HOLDINGS) LIMITED (COMPANY NO. 03904310) FIRST STATE INVESTMENTS (UK) LIMITED (COMPANY NO. 02294743) FIRST STATE INVESTMENTS (US) LLC (FILE NUMBER 546 9442) FIRST STATE INVESTMENTS FUND MANAGEMENT S.A.R.L (COMPANY NO. B128117) FIRST STATE INVESTMENTS HOLDINGS (SINGAPORE) LIMITED (REGISTRATION NO. 199901706Z) FIRST STATE INVESTMENTS INTERNATIONAL LIMITED (COMPANY NO. SC079063) FIRST STATE NOMINEES (HONG KONG) LIMITED (CR NO. 0206615) FSIB LTD First Sentier Investors Realindex Pty Ltd SI HOLDINGS LIMITED (COMPANY NO. SC109439) TOTAL KEEN INVESTMENT LIMITED (CR NO. 0580652)
Page 7
AnnexureB
Annexure B
This is annexure B of 2 pages referred to in Form 603, Notice of initial substantial holder dated 10 February 2020
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Ryuichiro Sakuma
- Authorised Signatory Dated 10 February 2020
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Holder of relevant interest Date of acquisition Consideration cash Consideration non-cash Class and number of
securities affected
Mitsubishi UFJ Financial Group, Inc. 4/10/2019 90,000.30 N/A 76,596 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 7/10/2019 492.00 N/A 410 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 8/10/2019 90,000.30 N/A 76,596 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 8/10/2019 733.08 N/A 596 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 9/10/2019 937.20 N/A 781 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 10/10/2019 987.39 N/A 828 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 11/10/2019 1,089.23 N/A 927 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 14/10/2019 1,480.36 N/A 1,244 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 15/10/2019 1,673.10 N/A 1,430 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 16/10/2019 206,633.64 N/A 182,894 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 16/10/2019 471,246.36 N/A 417,106 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 21/10/2019 1,955.00 N/A 1,700 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 22/10/2019 1,945.68 N/A 1,608 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 23/10/2019 752.15 N/A 614 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 23/10/2019 929.48 N/A 765 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 24/10/2019 1,765.88 N/A 1,385 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 30/10/2019 153.72 N/A 122 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 30/10/2019 41.25 N/A 33 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 1/11/2019 18,038.75 N/A 14,431 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 4/11/2019 31.25 N/A 25 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 5/11/2019 218.40 N/A 168 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 11/11/2019 2,271.69 N/A 1,761 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 12/11/2019 430.30 N/A 331 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 12/11/2019 431.96 N/A 331 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 12/11/2019 433.61 N/A 331 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 13/11/2019 157,982.43 N/A 122,467 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 13/11/2019 358,017.57 N/A 277,533 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 13/11/2019 971.25 N/A 750 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 15/11/2019 710,919.00 N/A 550,000 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 15/11/2019 1,535.30 N/A 1,181 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 18/11/2019 967.50 N/A 750 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 18/11/2019 1,071.88 N/A 844 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 18/11/2019 323.79 N/A 258 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 19/11/2019 1,328.42 N/A 1,067 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 21/11/2019 375.00 N/A 300 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 21/11/2019 933.75 N/A 750 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 22/11/2019 1,187.06 N/A 975 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 25/11/2019 1,236.48 N/A 1,024 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 26/11/2019 1,298.76 N/A 1,096 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 27/11/2019 1,471.46 N/A 1,247 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 29/11/2019 1,524.00 N/A 1,270 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 4/12/2019 518.84 N/A 436 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 4/12/2019 34.51 N/A 29 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 4/12/2019 259.68 N/A 221 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 4/12/2019 300.69 N/A 257 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 6/12/2019 35.67 N/A 29 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 6/12/2019 5,065.06 N/A 4,186 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 6/12/2019 532.61 N/A 442 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 10/12/2019 75.90 N/A 66 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 10/12/2019 676.20 N/A 588 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 10/12/2019 803.25 N/A 675 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 10/12/2019 761.91 N/A 654 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 10/12/2019 680.92 N/A 587 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 10/12/2019 589.20 N/A 491 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 12/12/2019 N/A Borrow by an entity controlled 200,000 Ordinary Shares
by Morgan Stanley - see
annexure C
Mitsubishi UFJ Financial Group, Inc. 13/12/2019 327.29 N/A 289 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 13/12/2019 1,070.31 N/A 943 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 13/12/2019 487.60 N/A 424 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 18/12/2019 764.54 N/A 602 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 18/12/2019 927.25 N/A 733 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 20/12/2019 611.32 N/A 493 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 2/01/2020 408.83 N/A 345 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 6/01/2020 N/A Borrow by an entity controlled 1,000 Ordinary Shares
by Morgan Stanley - see
annexure C
Mitsubishi UFJ Financial Group, Inc. 21/01/2020 101.91 N/A 86 Ordinary Shares
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Page 8
AnnexureB
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Mitsubishi UFJ Financial Group, Inc. 21/01/2020 40.32 N/A 36 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 22/01/2020 1,454.31 N/A 1,287 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 22/01/2020 67.41 N/A 61 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 22/01/2020 350.11 N/A 314 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 22/01/2020 133.28 N/A 119 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 22/01/2020 137.64 N/A 124 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 28/01/2020 141.05 N/A 130 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 28/01/2020 141.25 N/A 125 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 28/01/2020 74.25 N/A 66 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 28/01/2020 112.00 N/A 100 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 30/01/2020 1,040.55 N/A 991 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 31/01/2020 941.46 N/A 852 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 3/02/2020 45,170.05 N/A 43,015 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 3/02/2020 95,477.55 N/A 90,931 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 3/02/2020 70.35 N/A 67 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 3/02/2020 321.78 N/A 305 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 3/02/2020 5.25 N/A 5 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 4/02/2020 20,988.00 N/A 20,000 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 4/02/2020 1,496.88 N/A 1,386 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 4/02/2020 667.80 N/A 630 Ordinary Shares
Mitsubishi UFJ Financial Group, Inc. 5/02/2020 244,403.50 N/A 229,897 Ordinary shares
Mitsubishi UFJ Financial Group, Inc. 5/02/2020 1,012.82 N/A 951 Ordinary Shares
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Page 9
AnnexureC
Annexure C
This is annexure C of 1 page referred to in Form 603, Notice of initial substantial holder dated 10 February 2020.
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Ryuichiro Sakuma
Authorised signatory Dated 10 February 2020
The below schedules are based on the relevant standard agreements. The entity filing the report will, if requested by the company or responsible entity to whom the prescribed form must be given or ASIC, give a copy of the agreement to the company, responsible entity or ASIC.
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Schedule
Type of Agreement Master Securities Loan Agreement
Parties to agreement Morgan Stanley & Co. LLC, MS Securities Services Inc. and GOLDMAN SACHS BANK USA
Transfer Date 20191205; 20191209; 20191210; 20200110;
Holder of Voting Rights Borrower
Are there any restrictions on voting rights? Yes/N o
If yes, detail Not applicable
Scheduled Return Date (if any) Open
Does the borrower have the right to return early? Yes /No
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date
established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by
Lender) or the non-cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to
the contrary, be the third Business Day following such notice.
Does the lender have the right to recall early? Yes /No
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date
established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by
Lender) or the non-cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to
the contrary, be the third Business Day following such notice.
Will the securities be returned on settlement? Yes /No
If yes, detail any exceptions Upon the occurrence of a Default entitling the Lender to terminate all Loans, the Lender has the right to purchase a like amount of Loaned Securities, to sell any
Collateral and to apply and set off the Collateral and any proceeds thereof against the payment of the purchase price for such Replacement Securities. In the event the Lender exercises such
rights, the Borrower's obligation to return a like amount of the Loaned Securities shall terminate.
Schedule
Type of Agreement Australian Master Securities Lending Agreement
Parties to agreement Morgan Stanley Australia Securities Limited and JPMORGAN CHASE BANK, N.A.
Transfer Date 20191212; 20191220; 20200113; 20200205;
Holder of Voting Rights Borrower
Are there any restrictions on voting rights? Yes/N o
If yes, detail Not applicable
Scheduled Return Date (if any) Open
Does the borrower have the right to return early? Yes /No
If yes, detail The Borrower shall be entitled at any time to terminate a particular loan of Securities and to redeliver all and any Equivalent Securities due and outstanding to the Lender in
accordance with the Lender's instructions.
Does the lender have the right to recall early? Yes /No
If yes, detail The Lender may call for the redelivery of all or any Equivalent Securities at any time by giving notice on any Business Day of not less than the Standard Settlement Time for such
Equivalent Securities or the equivalent time on the exchange or in the clearing organisation through which the relevant borrowed Securities were originally delivered.
Will the securities be returned on settlement? Yes /No
If yes, detail any exceptions If an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations shall be accelerated so as to require performance thereof at
the time such Event of Default occurs. In such event the Relevant Value of the Securities to be delivered by each Party shall be established and on the basis of the Relevant Values so
established, an account shall be taken of what is due from each Party to the other and the sums due from one Party shall be set-off against the sums due from the other and only the balance of
the account shall be payable.
Schedule
Type of Agreement Australian Master Securities Lending Agreement
Parties to agreement Morgan Stanley Australia Securities Limited and NATIONAL AUSTRALIA BANK LIMITED
Transfer Date 20200106;
Holder of Voting Rights Borrower
Are there any restrictions on voting rights? Yes/N o
If yes, detail Not applicable
Scheduled Return Date (if any) Open
Does the borrower have the right to return early? Yes /No
If yes, detail The Borrower shall be entitled at any time to terminate a particular loan of Securities and to redeliver all and any Equivalent Securities due and outstanding to the Lender in
accordance with the Lender's instructions.
Does the lender have the right to recall early? Yes /No
If yes, detail The Lender may call for the redelivery of all or any Equivalent Securities at any time by giving notice on any Business Day of not less than the Standard Settlement Time for such
Equivalent Securities or the equivalent time on the exchange or in the clearing organisation through which the relevant borrowed Securities were originally delivered.
Will the securities be returned on settlement? Yes /No
If yes, detail any exceptions If an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations shall be accelerated so as to require performance thereof at
the time such Event of Default occurs. In such event the Relevant Value of the Securities to be delivered by each Party shall be established and on the basis of the Relevant Values so
established, an account shall be taken of what is due from each Party to the other and the sums due from one Party shall be set-off against the sums due from the other and only the balance of
the account shall be payable.
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