AI assistant
ILUKA RESOURCES LIMITED — Major Shareholding Notification 2018
May 9, 2018
65116_rns_2018-05-09_e33dcf3d-5d72-4319-91f1-7708582e0588.pdf
Major Shareholding Notification
Open in viewerOpens in your device viewer
$\underset{\text{Corporations Act 2001}}{\text{Form }603}\xspace$
Notice of initial substantial holder
| To Company Name/Scheme | ILUKA RESOURCES LIMITED | |||
|---|---|---|---|---|
| ACN/ARSN | 008 675 018 | |||
| 1. Details of substantial holder (1) Name |
Mitsubishi UFJ Financial Group, Inc. | |||
| ACN/ARSN (if applicable) | Not Applicable | |||
| The holder became a substantial holder on | May 07, 2018 | |||
| The holder became aware on | May 09, 2018 |
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:
| Class of securities (4) | Number of securities | Person's votes (5) | Voting power (6) |
|---|---|---|---|
| Ordinary Shares | 27,858,861 | 27,858,861 | 6.60% |
| Options | 237 | 23.700 | 0.01% |
| Based on 422,042,226 Ordinary Shares Outstanding |
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 |
|---|---|---|
| Mitsubishi UFJ Financial Group. linc. |
Relevant interest in securities that Morgan Stanley 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 |
2.546,961 Ordinary Shares |
| Mitsubishi UFJ Financial Group, linc. |
Relevant interest in securities that Morgan Stanley 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 |
345,695 Ordinary Shares |
| Mitsubishi UFJ Financial Group. linc. |
Relevant interest in securities that Morgan Stanley 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 |
10,518,360 Ordinary Shares |
| Mitsubishi UFJ Financial Group. linc. |
Relevant interest in securities that Morgan Stanley 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 |
6.921,595 Ordinary Shares |
| Mitsubishi UFJ Financial Group. linc. |
Relevant interest in securities that Morgan Stanley 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 |
3 279 Ordinary Shares |
| Mitsubishi UFJ Financial Group. linc. |
Relevant interest in securities that Morgan Stanley 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 |
181.600 Ordinary Shares |
$\mathbf 1$
| Mitsubishi UFJ Financial Group. linc. |
Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Milsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley |
7.234,068 Ordinary Shares |
|---|---|---|
| Mitsubishi UFJ Financial Group, linc. |
Relevant interest in securities that Morgan Stanley 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 |
107,103 Ordinary Shares |
| Mitsubishi UFJ Financial Group, linc. |
Relevant interest in securities that Morgan Stanley 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 |
200 Ordinary Shares |
| Mitsubishi UFJ Financial Group. linc. |
Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voling power of over 20% in Morgan Stanley |
237 Options |
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 (8) |
Class and number of securities |
|---|---|---|---|
| Mitsubishi UFJ Financial Group, llnc. |
HSBC Custody Nominees (Australia) Limited | Not Applicable | 2,546 961 Ordinary IShares |
| Mitsubishi UFJ Financial Group, linc. |
ll Inknown | Not Applicable | 10,864,055 Ordinary Shares |
| Mitsubishi UFJ Financial Group, linc. |
HSBC Custody Nominees (Australia) Limited | Not Applicable | (6,921,595 Ordinary⊦ Shares |
| Mitsubishi UFJ Financial Group. linc. |
HSBC Custody Nominees (Australia) Limited | Nol Applicable | 3,279 Ordinary Shares |
| Mitsubishi UFJ Financial Group, linc. |
lUnknown | Not Applicable | 181,600 Ordinary lShares |
| Mitsubishi UFJ Financial Group. linc. |
Morgan Stanley Australia Securities (Nominee) Ptv Limited |
Not Applicable | 7,234 068 Ordinary Shares |
| Mitsubishi UFJ Financial Group, linc. |
Morgan Stanley Wealth Management Australia Pty discretionary client account |
Not Applicable | 107,103 Ordinary Shares |
| Mitsubishi UFJ Financial Group, linc. |
Not Applicable | Not Applicable | 200 Ordinary Shares |
| Mitsubishi UFJ Financial Group, linc. |
Not Applicable | Not Applicable | 237 Options |
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:
See Annexure C
$\bar{\beta}$
$\ddot{\phantom{1}}$
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 |
|---|---|
| See Annexure A | 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 |
Signature
| print name | Takeshi Kawakatsu | capacity | Authorised signatory |
|---|---|---|---|
| sign here | date | May 10, 2018 | |
| . | |||
ANNEXURE "A"
This is Annexure "A" of 4 pages referred to in the Form 603 (Notice of initial substantial holder), signed by me dated 10 May 2018.
$\overline{A}$
Signed: Takeshi Kawakatsu
Mitsubishi UFJ Financial Group, Inc. 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 Tokyo Co., Ltd.
MU Center Service Osaka Co., Ltd. MU Business Aid Co., Ltd.
MU Business Aid Co., Ltd.
MU Property Research Company Limited Mitsubishi UFJ Home Loan CREDIT CO., LTD. The Diamond Home Credit Company Limited Mitsubishi UFJ Research & Consulting Co., Ltd. MU Frontier Servicer Co., Ltd.
Otemachi Guarantee Co., Ltd. GD Holdings Company Limited MU Loan Administration Support Co., Ltd. Multiple Courante Co., Ltd.
Shintokyo Guarantee 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 Capital II, Limited Partnership Mitsubishi UFJ Capital III, Limited Partnership Mitsubishi UFJ Capital IV, Limited Partnership Mitsubishi UFJ Capital V, Limited Partnership Mitsubishi UFJ Capital VI, Limited Partnership Mitsubishi UFJ Capital V., Limited Partnership
Mitsubishi UFJ Life Science 1, Limited Partnership
Tohoku Senary Industry Support, Limited Partnership
OiDE Fund Investment Limited Partnership
Mitsubishi UFJ Financial Partne 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 Marunouchi Capital Fund II Limited Partnership M.U. Trust Sougou Kanri Co., Ltd. M-O. That Sougou Admiract. Ltd.
Misubishi UFJ Trust Business Co., Ltd.
Ryoshin Data Co., Ltd.
Mitsubishi UFJ Trust Investment Technology Institute Co., Ltd. Mitsubishi UFJ Trust Hosyo Co., Ltd.
Mitsubishi UFJ Trust Hosyo Co., Ltd.
Ryoshin DC Card Company Ltd. ryoum by Canadian Blanning Company, Ltd.
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) Ippan Shadan Houjin Leone Jointly Managed Monetary Trust Fund (Fund Number:550001) MU Trust Property Management Co., Ltd.
AMP Capital Investors KK KWI 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. Rabu.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. MU NICOS Credit
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. Mitsubishi UFJ Personal Financial Advisers Co., Ltd. Mitsubishi Research Institute DCS Co., Ltd. HR Solution DCS Co., Ltd. Fix Southoff DEJ Lease & Finance Company Limited
Mitachi Capital Corporation
Nihombashi TG Jigyo Kyodo Kumiai
NIHOMBASHI TG SERVICE CO., LTD.
SHIHANHOMBASHI TSUSHO CO., LTD.
NIHIMAHOMBASHI TSUSHO CO., LTD. Solution Design Co., Itd. 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 NOTO Training (Oculschland) GmbH
MUFG Bank (Malaysia) Berhad
MUFG North America International, Inc.
MUFG Bank Mexico, S.A. MUFG Nominees (HK) Limited
MUFG Nominees (HK) 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 Leasing Corporation
UnionBanCal Mortgage Corporation Shills-Ralston, Inc.
Mills-Ralston, Inc.
HighMark Capital Management, Inc.
BCC OX II, Inc.
BCC OX II, Inc. 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.
U.B. Vehicle Leasing, Inc.
MUFG Americas Capital Corporation MOTO Americas Capital 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 Corporate Advisory, Inc. MUFG Americas Capital Company
MUFG Fund Services (USA) LLC MUFG Securities Americas Inc.
MUFG Securities Americas Inc.
MUFG Capital Analytics LLC MUFG Investor Services (US), LLC
OX 2000 LLC OX 2000-2 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 Bank of Tokyo-Mitsubishi UFJ (Eurasia) AO Bank of Tokyo-Mitsubishi OFJ (Eurasia)
Bank of Tokyo-Mitsubishi UFJ (China), Ltd.
BTMU Preferred Capital 6 Limited
BTMU Preferred Capital 7 Limited
BTMU Preferred Capital 8 Limited
BTMU Preferred Capital 9 Limited
BTMU 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 Fyraniya General Insurance Broker 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 Tesco Card Services Limited
BTMU Liquidity Reserve Investment 2 Limited
BTMU Liquidity Reserve Investment 3 Limited
BOT Lease (HK) Co., Ltd.
PT Bumiputera - BOT Finance, Philippines, Inc.
BOT Lease and Finance, Philippines BOT Lease (Thailand) Co., Ltd. MUFG Holding (Thailand) Co., Ltd.
MUFG Holding (Thailand) Co., Ltd
Bangkok MUFG Limited BOT Lease(Eurasia)LLC Dah Sing Financial Holdings Limited Dah Sing Banking Group Limited Dah Sing Bank, Limited Dari Sing Bank, Limineum
BOT Lease (Tianjin) Co., Ltd.
BOTL Factoring (Shanghai) Co., Ltd.
BOTLEASE MEXICO S.A. DE C.V.
GOLDEN ASIA FUND VENTURES LTD.
Lakefield Wind Project, LLC
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.
MUTB Preferred Capital Limited
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 (Bermuda) 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 (UK) Limited
MUFG Fund Services (Halifax) Limited
MUFG Family Office Services Limited MUFG Fund Services (Singapore) Pte. Ltd.
MUFG Fund Services (Singapore) Pte. Ltd. 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 MU Japan Fund PLC
SWS MU FUND MANAGEMENT CO.,LTD.
SWSMU (SHANGHAI) ASSETS MANAGEMENT COMPANY LIMITED
AMP Capital Hotdings Limited
MUFG Global Fund SICAV
MUFG Securities EMEA plc
MUFG Securities (Europe) N.V.
MUFG Securities Asia (Singapore) Limited
MUFG Securities Asia Li Mitsubishi UFJ Wealth Management Bank (Switzer
MUFG Securities (Canada), Ltd.
EASY BUY Public Company Limited
PT. Bank Nusantara Parahyangan, Tbk.
PT. Bank Nusantara Parahyangan, Tbk.
ACOM CONSUMER FINANCE CORPORATION
MUFG MRIDCS Americas, Inc. Morgan Stanley
Purple Finance (Cayman) International Ltd.
Bangkok Mitsubishi UFJ Lease Co., Ltd Teera Thana Pte Ltd. The California-Sansome Corporation
$\boldsymbol{7}$
ANNEXURE "B"
This is Annexure "B" of 9 pages referred to in the Form 603 (Notice of initial substantial holder), signed by me dated 10 May 2018.
Signed: Takeshi Kawakatsu
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and SPECIFIED MONEY TRUST |
| FUND NO.400076187 FOR TOPPAN FORMS CO., LTD. ENTRUSTED TO | |
| THE MASTER TRUST BANK OF JAPAN, LTD. | |
| Transfer Date | 20180403; 20180406; 20180409; 20180411; 20180412; 20180413; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/ No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes ANO |
| If yes, detail The Borrower is entitled at any time to terminate a Loan 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 is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | |
| through which the Loaned Securities were originally delivered. | |
| Will the securities be returned on settlement? | Yes Ale |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by | |
| written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and SPECIFIED MONEY TRUST |
| FUND NO.400076181 FOR TAIHO PHARMACEUTICAL CO., LTD. | |
| ENTRUSTED TO THE MASTER TRUST BANK OF JAPAN, LTD. | |
| Transfer Date | 20180403; 20180416; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | ¥es∕No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes ANO |
| If yes, detail The Borrower is entitled at any time to terminate a Loan 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 is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | |
| through which the Loaned Securities were originally delivered. | |
| Will the securities be returned on settlement? | Yes ANO |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by | |
| written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and SPECIFIED MONEY TRUST FUND NO.400076186 FOR TEIJIN LIMITED ENTRUSTED TO THE MASTER TRUST BANK OF JAPAN, LTD. |
| Transfer Date | 20180403; 20180411; 20180417; 20180418; 20180419; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/ No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
8
$\bar{z}$
| Does the borrower have the right to return early? | Yes Ale | |
|---|---|---|
| If yes, detail The Borrower is entitled at any time to terminate a Loan 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 Ale | |
| If yes, detail The Lender is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | ||
| through which the Loaned Securities were originally delivered. | ||
| Will the securities be returned on settlement? | Yes /No | |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by | ||
| written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Partles to agreement | Morgan Stanley & Co. International plc and SPECIFIED MONEY TRUST |
| FUND NO.400076192 FOR JAPAN AIRLINES CO., LTD. ENTRUSTED TO | |
| THE MASTER TRUST BANK OF JAPAN, LTD. | |
| Transfer Date | 20180403; 20180413; 20180418; 20180419; 20180425; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/No |
| 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 is entitled at any time to terminate a Loan 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 is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | |
| through which the Loaned Securities were originally delivered. | |
| Will the securities be returned on settlement? | Yes /No |
| If you dotail any overstigge. If the Berrower does not redeliver Equivalent Cocycities in accordance with the Agreement, the Lander may by |
If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof.
$\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\$
$\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\bar{\$
| Schedule | ||
|---|---|---|
| Type of Agreement | Global Master Securities Lending Agreement | |
| Partles to agreement | Morgan Stanley & Co. International pic and THE NORTHERN TRUST COMPANY |
|
| Transfer Date | 20180403; 20180405; 20180406; 20180409; 20180410; 20180411; 20180412; 20180413; 20180416; 20180417; 20180418; 20180419; 20180420; 20180423; 20180425; 20180427; 20180430; |
|
| Holder of Voting Rights | Borrower | |
| Are there any restrictions on voting rights? | Yes/No | |
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | Yes /No | |
| Lender in accordance with the Lender's instructions. | If yes, detail The Borrower is entitled at any time to terminate a Loan and to redeliver all and any Equivalent Securities due and outstanding to the | |
| Does the lender have the right to recall early? | Yes /No | |
| If yes, detail The Lender is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation through which the Loaned Securities were originally delivered. |
||
| Will the securities be returned on settlement? | Yes /No | |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
$\sim$ $\alpha$
$\hat{\mathcal{S}}$
| Schedule | |
|---|---|
| Type of Agreement | Overseas Securities Lender's Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and HSBPOSPREY |
| Transfer Date | 20180507 |
| Holder of Voting Rights | Each Party undertakes that where it holds securities of the same |
| description as any securities borrowed by it or transferred to it by way of |
$\hat{\boldsymbol{\cdot}$
| collateral at a time when a right to vote arises in respect of such securities, | ||
|---|---|---|
| it will use its best endeavours to arrange for the voting rights attached to | ||
| such securities to be exercised in accordance with the instructions of the | ||
| Lender or Borrower (as the case may be). | ||
| Are there any restrictions on voting rights? | Yes 4No | |
| If yes, detail As stated above. | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | Yes Ale | |
| If yes, detail The Borrower is 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 Ale | |
| 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 on the exchange or in the clearing organisation through which the relevant borrowed | ||
| Securities were originally delivered. The Borrower shall redeliver such Equivalent Securities not later than the expiry of such notice in accordance with | ||
| the Lender's instructions. | ||
| Will the securities be returned on settlement? | Yes Ale |
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 in accordance with the Agreement and on the basis of the Relevant Values so established, 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.
$\bar{z}$
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and WEST MIDLANDS |
| METROPOLITAN AUTHORITIES PENSION FUND | |
| Transfer Date | 20180427; 20180502; 20180507; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/ No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | YesANe |
| If yes, detail The Borrower is entitled at any time to terminate a Loan 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 is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | |
| through which the Loaned Securities were originally delivered. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by | |
| written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
$\sim$
| Schedule | |
|---|---|
| Type of Agreement | Overseas Securities Lender's Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and JPMORGAN CHASE BANK, N.A. |
| Transfer Date | 20180403; 20180404; 20180405; 20180406; 20180409; 20180410; 20180411; 20180412; 20180413; 20180416; 20180418; 20180419; 20180420; 20180423; 20180425; 20180427; 20180430; 20180507; |
| Holder of Voting Rights | Each Party undertakes that where it holds securities of the same description as any securities borrowed by it or transferred to it by way of collateral at a time when a right to vote arises in respect of such securities, it will use its best endeavours to arrange for the voting rights attached to such securities to be exercised in accordance with the instructions of the Lender or Borrower (as the case may be). |
| Are there any restrictions on voting rights? | Yes /No |
| If yes, detail As stated above. | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes ANO |
| outstanding to the Lender in accordance with the Lender's instructions. | If yes, detail The Borrower is entitled at any time to terminate a particular loan of Securities and to redeliver all and any Equivalent Securities due and |
| 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 on the exchange or in the clearing organisation through which the relevant borrowed Securities were originally delivered. The Borrower shall redeliver such Equivalent Securities not later than the expiry of such notice in accordance with the Lender's instructions. $\overline{\mathbf{r}}$ $\overline{\mathsf{T}\mathsf{v}}$ $\overline{h}$
| 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 in accordance with the Agreement and on the basis of the Relevant Values so established, 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. |
l,
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and ZUERCHER KANTONALBANK |
| Transfer Date | 20180507; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/ No |
| 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 is entitled at any time to terminate a Loan 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 is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | |
| through which the Loaned Securities were originally delivered. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by | |
| written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
| Schedule | |
|---|---|
| Type of Agreement | Master Gilt Edged Stock Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and NATIONAL GRID UK |
| PENSION SCHEME TRUSTEE LIMITED AS TRUSTEE OF NATIONAL GRID | |
| UK PENSION SCHEME | |
| Transfer Date | 20180403; 20180404; 20180405; 20180406; 20180409; 20180410; |
| 20180411; 20180412; 20180413; 20180416; 20180417; 20180418; | |
| 20180419; 20180423; 20180425; 20180427; 20180430; 20180504; | |
| 20180507. | |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/ No |
| If yes, detail As stated above. | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes /No |
| If yes, detail The Borrower is 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 and the | |
| Borrower shall redeliver such Equivalent Securities to the Lender as soon as reasonably practicable after such call, or on the date specified by the | |
| Lender if one or more Business Day's notice has been given. | |
| 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 in accordance with the Agreement and on the basis of the Relevant Values so established, 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 | Global Master Repurchase Agreement |
| Parties to agreement | Morgan Stanley & Co. International pic and RBC EUROPE LIMITED |
| Transfer Date | 20180507: |
| Holder of Voting Rights | Buyer in relation to Purchased Securities and the transferee in the case |
|---|---|
| 'of Margin Securities. | |
| Are there any restrictions on voting rights? | Yes /No |
If yes, detail Buyer, in the case of Purchased Securities, and transferee, in the case of Margin Securities, shall use its best endeavours to arrange for voting rights of that kind to be exercised in relation to the relevant number of securities of that kind in accordance with the instructions of the other party provided that it holds such Securities and the other party shall have notified Buyer or transferee, as the case may be, of its instructions no later than seven Business Days prior to the date the votes are exercisable.
| Scheduled Return Date (if any) | Open |
|---|---|
| Does the borrower have the right to return early? | Yes /No |
| . . $\sim$ $\sim$ . |
. . . |
If yes, detail Either party may terminate on demand Transactions on notice of not less than the minimum period as is customarily required for the settlement or delivery of the Equivalent Securities. If Seller requests and Buyer agrees, Transaction may be varied such that Buyer transfers Securities equivalent to the Purchased Securities to the Seller in exchange for the transfer of other securities as agreed.
| Does the lender have the right to recall early? | Yes /No | |
|---|---|---|
| If yes, detail Either party may terminate on demand Transactions on notice of not less than the minimum period as is customarily required for the | ||
| settlement or delivery of the Equivalent Securities. | ||
| Will the securities be returned on settlement? | Yes /No | |
| If yes, detail any exceptions If an Event of Default occurs with respect to either party, the Parties' obligation to deliver Equivalent Securities and | ||
| Equivalent Margin Securities will cease. The Non-defaulting party will calculate the Default Market Value of Equivalent Securities and Equivalent |
Margin Securities, set off the sums due from one party to another, and only the balance of the account shall be payable.
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and BNP PARIBAS SECURITIES |
| SERVICES | |
| Transfer Date | 20180427; 20180507; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | ¥e s∕ No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes Ale |
| If yes, detail The Borrower is entitled at any time to terminate a Loan 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 is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | |
| through which the Loaned Securities were originally delivered. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by | |
| written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
| Schedule | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International pic and CITIBANK NA |
| Transfer Date | 20180403; 20180404; 20180405; 20180406; 20180409; 20180410; |
| 20180411; 20180412; 20180413; 20180416; 20180419; 20180424; | |
| 20180426; 20180427; 20180430; 20180502; 20180504; 20180507; | |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yes/ No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes Ale |
| If yes, detail The Borrower is entitled at any time to terminate a Loan 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 is entitled to terminate a Loan and to 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 on the exchange or in the clearing organisation | |
| through which the Loaned Securities were originally delivered. | |
| Will the securities be returned on settlement? | Yes /No |
If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof.
$\cdot$
| Schedule | ||
|---|---|---|
| Type of Agreement | Australian Master Securities Lending Agreement | |
| Parties to agreement | Morgan Stanley Australia Securities Limited and NATIONAL AUSTRALIA | |
| BANK LIMITED | ||
| Transfer Date | 20180329; | |
| Holder of Voting Rights | Borrower | |
| Are there any restrictions on voting rights? | ¥e s/ No | |
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Yes Ale Does the borrower have the right to return early? |
||
| 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 | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and WATERMARK GLOBAL |
| LEADERS FUND LIMITED | |
| Transfer Date | 20180507: |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will |
| pass to the purchaser of the securities. | |
| Are there any restrictions on voting rights? | Yes/No |
| 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 At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions Upon 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 other party and only the balance of the account shall be payable. |
$\bar{z}$
$\bar{\phantom{a}}$
| Schedule | |
|---|---|
| Type of Agreement | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and GLENEAGLE ASSET MANAGEMENT LIMITED AS RESPONSIBLE ENTITY FOR ALIUM MARKET NEUTRAL FUND |
| Transfer Date | 20180507: |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will pass to the purchaser of the securities. |
| Are there any restrictions on voting rights? | Yes/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes/Ne |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes /No |
$\ddot{\phantom{a}}$
If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time.
Will the securities be returned on settlement?
$\sqrt{\text{Yes/Ne}}$
If yes, detail any exceptions Upon 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 other party and only the balance of the account shall be payable.
| scheaule | |
|---|---|
| Type of Agreement | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and CREATION FUND LIMITED |
| Transfer Date | 20180507; |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will |
| pass to the purchaser of the securities. | |
| Are there any restrictions on voting rights? | Yes/ No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes Ale |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes/No |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes ANO |
| If yes, detail any exceptions Upon 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 other party and only the balance of the account shall be payable.
| Schedule | |
|---|---|
| Type of Agreement | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and QATO CAPITAL NOMINEES |
| PTY LTD AS TRUSTEE FOR QATO CAPITAL LONG SHORT FUND | |
| Transfer Date | 20180507: |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will |
| pass to the purchaser of the securities. | |
| Are there any restrictions on voting rights? | Yes/ No |
| 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 At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions Upon 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 |
iunt sh ished, an ac party shall be set off against the amounts due from the other party and only the balance of the account shall be payable.
| Schedule | ||||
|---|---|---|---|---|
| Type of Agreement | International Prime Brokerage Agreement | |||
| Parties to agreement | Morgan Stanley & Co. International plc and ALPHAS MANAGED | |||
| ACCOUNTS PLATFORM LXXVI LIMITED-WMC QUANT SEGREGATED | ||||
| PORTFOLIO | ||||
| Transfer Date | 20180507: | |||
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will | |||
| pass to the purchaser of the securities. | ||||
| Are there any restrictions on voting rights? | Yes/No | |||
| 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 At any time the client may return to the prime broker shares which the client previously sold short. | ||||
| Does the lender have the right to recall early? | Yes/No | |||
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||||
| Will the securities be returned on settlement? | Yes /No |
If yes, detail any exceptions Upon 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 other party and only the balance of the account shall be payable.
| Schedule | |||
|---|---|---|---|
| Type of Agreement | International Prime Brokerage Agreement | ||
| Parties to agreement | Morgan Stanley & Co. International plc and OXAM QUANT FUND | ||
| LIMITED | |||
| Transfer Date | 20180507: | ||
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will | ||
| pass to the purchaser of the securities. | |||
| Are there any restrictions on voting rights? | Yes/No | ||
| 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 At any time the client may return to the prime broker shares which the client previously sold short. | |||
| Does the lender have the right to recall early? | Yes /No | ||
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |||
| Will the securities be returned on settlement? | Yes Ale | ||
| If yes, detail any exceptions Upon 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 other party and only the balance of the account shall be payable.
| Schedule | ||||
|---|---|---|---|---|
| Type of Agreement | International Prime Brokerage Agreement | |||
| Parties to agreement | Morgan Stanley & Co. International plc and CERES CAPITAL PTY LTD | |||
| Transfer Date | 20180507: | |||
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will | |||
| pass to the purchaser of the securities. | ||||
| Are there any restrictions on voting rights? | Yes/No | |||
| If yes, detail Not applicable | ||||
| Scheduled Return Date (if any) | Open | |||
| Does the borrower have the right to return early? | Yes Ale | |||
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | ||||
| Does the lender have the right to recall early? | Yes /No | |||
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||||
| Will the securities be returned on settlement? | Yes /No | |||
| If yes, detail any exceptions Upon 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 other party and only the balance of the account shall be payable. |
| Schedule | ||||
|---|---|---|---|---|
| Type of Agreement | International Prime Brokerage Agreement | |||
| Parties to agreement | Morgan Stanley & Co. International plc and QATO CAPITAL NOMINEES | |||
| PTY LTD AS TRUSTEE FOR QATO CAPITAL MARKET NEUTRAL FUND | ||||
| Transfer Date | 20180504: | |||
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will | |||
| pass to the purchaser of the securities. | ||||
| Are there any restrictions on voting rights? | Yes/ No | |||
| 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 At any time the client may return to the prime broker shares which the client previously sold short. | ||||
| Does the lender have the right to recall early? | Yes /No | |||
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||||
| Will the securities be returned on settlement? | Yes /No | |||
| If yes, detail any exceptions Upon 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 other party and only the balance of the account shall be payable.
The above 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.
ANNEXURE "C"
This is Annexure "C" of 223 pages referred to in the Form 603 (Notice of initial substantial holder), signed by me dated 10 May 2018.
$\epsilon$ Signed: Takeshi Kawakatsu
| Date of acquisition (MM/DD/YYYY) |
Consideration (9) | |||
|---|---|---|---|---|
| Holder of relevant interest | Cash | Non-cash | Class and number interest of securities | |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 14.973.60 | N/A | 1,468 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 71.82 | N/A | 7 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/0/2018 | 1,893.48 | N/A | 186 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 6,109.00 | N/A | 596 ordinary shares |
| Milsubishi UFJ Financial Group, Inc. | 1/8/2018 | 2,613.76 | NΙA | 256 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 55,107.52 | N/A | 5,408 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 10.23 | N/A | 1 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 21,470.33 | N/A | 2,107 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 1,269.36 | N/A | 123 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 984.96 | N/A | 96 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2016 | 2,301.81 | N/A | 226 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 18,178.96 | N/A | 1,784 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 5,283.42 | N/A | 519 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 6,834.00 | N/A | 670 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 10.18 | N/A | 1 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 722,78 | N/A | 71 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 10,25 | N/A | 1 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 1,275.96 | N/A | 124 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/6/2018 | 163.52 | N/A | 16 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 191,062.90 | N/A | 18,695 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 1,570.80 | ΝA. | 154 ordinary shares |
| Milsubishi UFJ Financial Group, Inc. | 1/8/2018 | 3,067.19 | NΙA | 301 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 1,462.60 | N/A | 142 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 20.58 | N/A | 2 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 6,666.30 | N/A | 861 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 1,268.13 | N/A | 123 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 81.60 | N/A | 8 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 5,090.00 244,32 |
NΙA N/A |
500 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. |
1/8/2018 | 1.092.47 | N/A | 24 ordinary shares |
| 1/8/2018 | 10.30 | N/A | 107 ordinary shares | |
| Mitsubishi UFJ Financial Group, Inc. Milsubishi UFJ Financial Group, Inc. |
1/8/2018 1/8/2018 |
11,546.40 | N/A | 1 ordinary shares 1,132 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 41.04 | N/A | 4 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 8.856.60 | N/A | 870 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 551.61 | N/A | 54 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 122.28 | N/A | 12 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 10,373.30 | N/A | 1,015 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 151,143.58 | N/A | 14,789 ordinary shares |
| Milsubishi UFJ Financial Group, Inc. | 1/8/2018 | 1,674.44 | NΙA | 164 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 20.48 | N/A | 2 ordinary shares |
| Mitsubishi UFJ Financial Group Inc. | 1/8/2018 | 10,393.78 | NIA | 1,018 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 10.21 | NIA | 1 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 96,346.45 | N/A | 9,455 ordinary shares |
| Milsubishi UFJ Financial Group, Inc. | 1/8/2018 | 10.35 | N/A | 1 ordinary shares |
| Milsubishi UFJ Financial Group, Inc. | 1/8/2018 | 92.79 | N/A | 9 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 13,865.16 | N/A | 1,362 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 95,393.48 | N/A | 9,334 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 10.28 | N/A | 1 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 612.90 | N/A | 60 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 30,201.18 | NIA | 2,958 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 2,550,00 | N/A | 250 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 20.74 | NIA | 2 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 6,264.86 | N/A | 613 ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | 1/8/2018 | 41.00 | N/A | 4 ordinary shares |
$\bar{\beta}$
$\bar{\mathbf{C}}_{\perp}$