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DATA#3 LIMITED — Major Shareholding Notification 2020
Oct 1, 2020
64791_rns_2020-10-01_fb7f93ed-780b-4d70-98bd-4ac8e239518a.pdf
Major Shareholding Notification
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Form 605
Corporations Act 2001 Section 671B
Notice of ceasing to be a substantial holder
To: Company Name/Scheme: DATA#3 LIMITED ACN/ARSN: 010 545 267
1. Details of substantial holder
Name: Mitsubishi UFJ Financial Group, Inc.
| The holder ceased to be a substantial holder on: | 29/09/2020 |
|---|---|
| The previous notice was given to the company on: | 01/10/2020 |
| The previous notice was dated: | 01/10/2020 |
| The holder became aware on: | 01/10/2020 |
2. 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 | Consideration given in relation to change |
Class and number of securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| See annexure A to this notice |
3. Changes in association
The persons who have become associates of, ceased to be associates of, or have changed the nature of their association 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
4. 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 |
5. Signature
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----- Start of picture text -----
Dated 2 October 2020
Ryuichiro Sakuma Authorised Signatory
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Page 1
Annexure A
This is annexure A of 5 pages referred to in Form 605 (Notice of ceasing to be a substantial holder), signed by me and dated 2 October 2020.
==> picture [86 x 26] intentionally omitted <==
Ryuichiro Sakuma Authorised Signatory Dated 2 October 2020
| Date of change | Person whose relevant interest changed |
Nature of change | Consideration given in relation to change |
Class and number of securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled by First Sentier Investors Holdings PtyLimited |
15,471.00 | 2,292 Ordinaryshares | 2,292 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
1,434.24 | 216 OrdinaryShares | 216 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
759.24 | 114 OrdinaryShares | 114 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
511.28 | 77 OrdinaryShares | 77 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
380.19 | 57 OrdinaryShares | 57 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
391.50 | 58 OrdinaryShares | 58 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
4,252.94 | 631 OrdinaryShares | 631 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
403.20 | 60 OrdinaryShares | 60 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
2,768.05 | 415 OrdinaryShares | 415 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
1,593.60 | 240 OrdinaryShares | 240 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
1,203.65 | 181 OrdinaryShares | 181 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
684.95 | 103 OrdinaryShares | 103 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
2,268.00 | 336 OrdinaryShares | 336 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
9,774.00 | 1,448 OrdinaryShares | 1,448 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
722.52 | 108 OrdinaryShares | 108 |
Page 2
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
2,669.04 | 396 OrdinaryShares | 396 |
|---|---|---|---|---|---|
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
152.72 | 23 OrdinaryShares | 23 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
662.97 | 98 OrdinaryShares | 98 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
332.00 | 50 OrdinaryShares | 50 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
4,302.87 | 649 OrdinaryShares | 649 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
2,592.90 | 387 OrdinaryShares | 387 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
7,461.56 | 1,117 OrdinaryShares | 1,117 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
720.36 | 108 OrdinaryShares | 108 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
2,582.34 | 386 OrdinaryShares | 386 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
4,700.20 | 710 OrdinaryShares | 710 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
6.65 | 1 OrdinaryShare | 1 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
1,471.86 | 221 OrdinaryShares | 221 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
5,735.74 | 851 OrdinaryShares | 851 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
66.40 | 10 OrdinaryShares | 10 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
760.49 | 113 OrdinaryShares | 113 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
765.01 | 113 OrdinaryShares | 113 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
2,363.34 | 357 OrdinaryShares | 357 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
377.44 | 56 OrdinaryShares | 56 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
284.66 | 43 OrdinaryShares | 43 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
6,409.87 | 961 OrdinaryShares | 961 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Purchase of securities by an entity controlled byMorgan Stanley |
1,102.20 | 165 OrdinaryShares | 165 |
Page 3
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
732.24 | 113 OrdinaryShares | 113 |
|---|---|---|---|---|---|
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
2,527.20 | 390 OrdinaryShares | 390 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,344.47 | 207 OrdinaryShares | 207 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,382.44 | 214 OrdinaryShares | 214 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
342.38 | 53 OrdinaryShares | 53 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
180.60 | 28 OrdinaryShares | 28 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
51.84 | 8 OrdinaryShares | 8 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
5,621.57 | 877 OrdinaryShares | 877 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
5,887.70 | 910 OrdinaryShares | 910 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
574.05 | 89 OrdinaryShares | 89 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
10,478.12 | 1,622 OrdinaryShares | 1,622 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,260.68 | 195 OrdinaryShares | 195 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
6,277.32 | 987 OrdinaryShares | 987 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
193.50 | 30 OrdinaryShares | 30 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
4,016.67 | 617 OrdinaryShares | 617 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
5,019.42 | 777 OrdinaryShares | 777 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
32.20 | 5 OrdinaryShares | 5 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
294.40 | 46 OrdinaryShares | 46 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
6,485.84 | 1,004 OrdinaryShares | 1,004 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
84.37 | 13 OrdinaryShares | 13 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
8,262.19 | 1,277 OrdinaryShares | 1,277 |
Page 4
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,642.23 | 257 OrdinaryShares | 257 |
|---|---|---|---|---|---|
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
3,136.28 | 487 OrdinaryShares | 487 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,761.50 | 271 OrdinaryShares | 271 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
12,416.32 | 1,928 OrdinaryShares | 1,928 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
789.66 | 123 OrdinaryShares | 123 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
3,919.96 | 604 OrdinaryShares | 604 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
2,212.74 | 342 OrdinaryShares | 342 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
638.96 | 98 OrdinaryShares | 98 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
11,311.46 | 1,751 OrdinaryShares | 1,751 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,272.38 | 195 OrdinaryShares | 195 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
4,195.75 | 650 OrdinaryShares | 650 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
243.58 | 38 OrdinaryShares | 38 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
5,194.67 | 806 OrdinaryShares | 806 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
706.20 | 110 OrdinaryShares | 110 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
76.44 | 12 OrdinaryShares | 12 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,459.61 | 227 OrdinaryShares | 227 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
212.52 | 33 OrdinaryShares | 33 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
568.48 | 88 OrdinaryShares | 88 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
130.60 | 20 OrdinaryShares | 20 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
6.48 | 1 OrdinaryShare | 1 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,243.20 | 192 OrdinaryShares | 192 |
Page 5
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
465.12 | 72 OrdinaryShares | 72 |
|---|---|---|---|---|---|
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
6.46 | 1 OrdinaryShare | 1 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
3,979.05 | 615 OrdinaryShares | 615 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
77.64 | 12 OrdinaryShares | 12 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
720.94 | 113 OrdinaryShares | 113 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
2,674.88 | 416 OrdinaryShares | 416 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,791.18 | 279 OrdinaryShares | 279 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
553.84 | 86 OrdinaryShares | 86 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
9,894.30 | 1,534 OrdinaryShares | 1,534 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,350.30 | 210 OrdinaryShares | 210 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
700.92 | 108 OrdinaryShares | 108 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
578.70 | 90 OrdinaryShares | 90 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,539.12 | 242 OrdinaryShares | 242 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
865.64 | 134 OrdinaryShares | 134 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
17,312.80 | 2,680 OrdinaryShares | 2,680 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
1,604.81 | 249 OrdinaryShares | 249 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
39.15 | 6 OrdinaryShares | 6 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
749.23 | 115 OrdinaryShares | 115 |
| 29/09/2020 | Mitsubishi UFJ Financial Group,Inc. | Sale of securities by an entity controlled byMorgan Stanley |
38.76 | 6 OrdinaryShares | 6 |
Page 6
Annexure B
This is annexure B of 1 page referred to in Form 605 (Notice of ceasing to be a substantial holder), signed by me and dated 2 October 2020.
==> picture [121 x 31] intentionally omitted <==
==> picture [44 x 6] intentionally omitted <==
----- Start of picture text -----
Ryuichiro Sakuma
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Authorised Signatory Dated 2 October 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.
| Schedule | Schedule |
|---|---|
| Type of Agreement | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan StanleyCompanies and CERES CAPITAL PTY LTD |
| Transfer Date | 20200929; |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the Client. |
| Are there any restrictions on voting rights? | ~~Yes/~~ ~~N~~o |
| Ifyes, detailNot applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Ye~~s/No~~ |
| Ifyes, detailPrime broker mayreturn shares which were rehypothecated from the client at anytime. | |
| Does the lender have the right to recall early? | Ye~~s/No~~ |
| If yes, detailPrime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by the client. | |
| Will the securities be returned on settlement? | Ye~~s/No~~ |
| If yes, detail any exceptionsUpon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amounts due from one party shall be set off against the amounts due from the otherpartyand onlythe balance of the account shall bepayable. |
Page 7