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ORIX CORP — Major Shareholding Notification 2012
Feb 10, 2012
30155_mrq_2012-02-10_781deba5-60b1-459a-a61c-e152cde63c91.zip
Major Shareholding Notification
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SC 13G/A 1 eh1200219_13ga1-orix.htm AMENDMENT NO. 1 eh1200219_13ga1-orix.htm Licensed to: jt6064 Document Created using EDGARizer 2020 5.4.1.0 Copyright 1995 - 2009 Thomson Reuters. All rights reserved.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
ORIX Corporation
(Name of Issuer)
Common Stock
(Title of Class of Securities)
686330101
(CUSIP Number)
December 31, 2011
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
þ : Rule 13d-1(b)
o : Rule 13d-1(c)
o : Rule 13d-1(d)
- The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON Mitsubishi UFJ Financial Group, Inc. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 5,180,149 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 5,180,149 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,180,149 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.8% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 2 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON Mitsubishi UFJ Trust and Banking Corporation | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 3,975,521 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 3,975,521 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,975,521 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.7% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 3 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON Mitsubishi UFJ Securities Holdings Co., Ltd. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 423,278 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 423,278 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 423,278 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.4% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 4 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 104,442 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 104,442 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 104,442 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 5 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON Mitsubishi UFJ Securities International plc | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION London, United Kingdom |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 318,836 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 318,836 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 318,836 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 6 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON Mitsubishi UFJ Asset Management Co., Ltd. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 590,870 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 590,870 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 590,870 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.5% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 7 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON Mitsubishi UFJ Asset Management (UK) Ltd. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION London, United Kingdom |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 26,900 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 26,900 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 26,900 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 8 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON MU Investments Co., Ltd. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 171,470 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 171,470 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 171,470 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 9 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON kabu.com Securities Co., Ltd. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 13,650 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 13,650 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,650 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 10 of 32
CUSIP No. 686330101
| 1 | NAME OF REPORTING PERSON KOKUSAI Asset Management Co., Ltd. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | SOLE VOTING POWER 5,360 |
|---|---|
| 6 | SHARED VOTING POWER -0- |
| 7 | SOLE DISPOSITIVE POWER 5,360 |
| 8 | SHARED DISPOSITIVE POWER -0- |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,360 | |
|---|---|---|
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | o |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% | |
| 12 | TYPE OF REPORTING PERSON (See Instructions) FI |
Page 11 of 32
CUSIP No. 686330101
ITEM 1
| (a) | Name of Issuer |
|---|---|
| ORIX Corporation | |
| (b) | Address of Issuer’s Principal Executive Offices |
| 1-23 Shiba 4-chome, Minato-ku, Tokyo 108-0014, Japan |
ITEM 2
| (a) | Names of Persons Filing |
|---|---|
| Mitsubishi UFJ Financial Group, Inc. (“MUFG”) | |
| Mitsubishi UFJ Trust and Banking Corporation (“MUTB”) | |
| Mitsubishi UFJ Securities Holdings Co., Ltd. (“MUSHD”) | |
| Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (“MUMSS”) | |
| Mitsubishi UFJ Securities International plc (“MUSI”) | |
| Mitsubishi UFJ Asset Management Co., Ltd. (“MUAM”) | |
| Mitsubishi UFJ Asset Management (UK) Ltd. (“MUAMUK”) | |
| MU Investments Co., Ltd. (“MUI”) | |
| kabu.com Securities Co., Ltd. (“KC”) | |
| KOKUSAI Asset Management Co., Ltd. (“KAM”) | |
| (b) | Address of Principal Business Office or, if none, Residence |
| MUFG: | |
| 7-1 Marunouchi 2-chome, Chiyoda-ku | |
| Tokyo 100-8330, Japan | |
| MUTB: | |
| 4-5 Marunouchi 1-chome, Chiyoda-ku | |
| Tokyo 100-8212, Japan | |
| MUSHD: | |
| 5-2 Marunouchi 2-chome, Chiyoda-ku | |
| Tokyo 100-0005, Japan | |
| MUMSS: | |
| 5-2 Marunouchi 2-chome, Chiyoda-ku | |
| Tokyo 100-0005, Japan | |
| MUSI: | |
| Ropemaker Place, 25 Ropemaker Street | |
| London EC2Y 9AJ, United Kingdom |
Page 12 of 32
CUSIP No. 686330101
| MUAM: | |
|---|---|
| 4-5 Marunouchi 1-chome, Chiyoda-ku | |
| Tokyo 100-8212, Japan | |
| MUAMUK: | |
| Ropemaker Place, 25 Ropemaker Street | |
| London EC2Y 9AN, United Kingdom | |
| MUI: | |
| 2-15 Nihonbashi Muromachi 3-chome, Chuo-ku | |
| Tokyo 103-0022, Japan | |
| KC: | |
| 3-2 Otemachi 1-chome, Chiyoda-ku | |
| Tokyo 100-0004, Japan | |
| KAM: | |
| 1-1 Marunouchi 3-chome, Chiyoda-ku | |
| Tokyo 100-0005, Japan | |
| (c) | Citizenship |
| Not applicable. | |
| (d) | Title of Class of Securities |
| Common Stock | |
| (e) | CUSIP Number |
| 686330101 |
ITEM 3 If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
| MUFG: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
(g) [ ] A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
Page 13 of 32
CUSIP No. 686330101
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|---|---|---|
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Parent holding company |
| MUTB: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Bank |
| MUSHD: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
(e) [ ] An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
Page 14 of 32
CUSIP No. 686330101
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|---|---|---|
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer |
| MUMSS: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer |
| MUSI: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
Page 15 of 32
CUSIP No. 686330101
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|---|---|---|
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer, Bank |
| MUAM: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser |
Page 16 of 32
CUSIP No. 686330101
| MUAMUK: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser |
| MUI: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) |
|---|
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser |
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| KC: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer |
| KAM: | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|---|---|---|
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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| (j) | [ ü ] | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|---|---|---|
| (k) | [ ] | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
| If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser |
ITEM 4 Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| For MUFG — (a) | Amount beneficially owned: | 5,180,149 |
|---|---|---|
| (b) | Percent of class: | 4.80% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 5,180,149 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 5,180,149 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- | |
| For MUTB | ||
| (a) | Amount beneficially owned: | 3,975,521 |
| (b) | Percent of class: | 3.69% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 3,975,521 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 3,975,521 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- | |
| For MUSHD | ||
| (a) | Amount beneficially owned: | 423,278 |
| (b) | Percent of class: | 0.39% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 423,278 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 423,278 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- |
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| For MUMSS — (a) | Amount beneficially owned: | 104,442 |
|---|---|---|
| (b) | Percent of class: | 0.10% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 104,442 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 104,442 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- | |
| For MUSI | ||
| (a) | Amount beneficially owned: | 318,836 |
| (b) | Percent of class: | 0.30% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 318,836 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 318,836 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- | |
| For MUAM | ||
| (a) | Amount beneficially owned: | 590,870 |
| (b) | Percent of class: | 0.55% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 590,870 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 590,870 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- | |
| For MUAMUK | ||
| (a) | Amount beneficially owned: | 26,900 |
| (b) | Percent of class: | 0.02% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 26,900 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 26,900 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- |
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| For MUI — (a) | Amount beneficially owned: | 171,470 |
|---|---|---|
| (b) | Percent of class: | 0.16% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 171,470 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 171,470 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- | |
| For KC | ||
| (a) | Amount beneficially owned: | 13,650 |
| (b) | Percent of class: | 0.01% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 13,650 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 13,650 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- | |
| For KAM | ||
| (a) | Amount beneficially owned: | 5,360 |
| (b) | Percent of class: | 0.00% |
| (c) | Number of shares as to which the person has: | |
| (i) Sole power to vote or to direct the vote: | 5,360 | |
| (ii) Shared power to vote or to direct the vote: | -0- | |
| (iii) Sole power to dispose or to direct the disposition of: | 5,360 | |
| (iv) Shared power to dispose or to direct the disposition of: | -0- |
ITEM 5 Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of December 31, 2011, the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ Ö ]
ITEM 6 Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
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CUSIP No. 686330101
ITEM 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
As of December 31, 2011, MUFG beneficially owns 5,180,149 shares of the issuer indirectly through its subsidiaries as follows: MUTB holds 3,975,521 shares; MUSHD holds 423,278 shares (including 104,442 shares indirectly held through MUMSS, and 318,836 shares indirectly held through MUSI, both of which are subsidiaries); MUAM holds 590,870 shares (including 26,900 shares indirectly held through a subsidiary, MUAMUK); MUI holds 171,470 shares; KC holds 13,650 shares; and KAM holds 5,360 shares.
ITEM 8 Identification and Classification of Members of the Group
Not applicable.
ITEM 9 Notice of Dissolution of Group
Not applicable.
ITEM 10 Certifications
By signing below the filers certify that, to the best of their knowledge and belief, (i) the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, and (ii) the foreign regulatory schemes applicable to parent holding companies, banks, broker-dealers and investment advisers, respectively, are substantially comparable to the regulatory schemes applicable to the functionally equivalent U.S. institutions. The filers also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D.
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| Mitsubishi UFJ Financial Group, Inc. | |
| By: | /s/ Koujirou Nakazawa |
| Name: | Koujirou Nakazawa |
| Title: | Senior Manager, Credit & Investment Management Division |
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| Mitsubishi UFJ Trust and Banking Corporation | |
| By: | /s/ Hiroki Masuoka |
| Name: | Hiroki Masuoka |
| Title: | Deputy General Manager of Trust Assets Planning Division |
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| Mitsubishi UFJ Securities Holdings Co., Ltd. | |
| By: | /s/ Shingo Sumimoto |
| Name: | Shingo Sumimoto |
| Title: | General Manager, Corporate Planning Division |
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | |
| By: | /s/ Tetsurou Shinohara |
| Name: | Tetsurou Shinohara |
| Title: | General Manager, Corporate Planning Division |
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| Mitsubishi UFJ Securities International plc | |
| By: | /s/ Yasutaka Suehiro |
| Name: | Yasutaka Suehiro |
| Title: | Chief Administration Officer |
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| Mitsubishi UFJ Asset Management Co., Ltd. | |
| By: | /s/ Katsutoshi Edamura |
| Name: | Katsutoshi Edamura |
| Title: | General Manager of Risk Management Division |
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| Mitsubishi UFJ Asset Management (UK) Ltd. | |
| By: | /s/ Kenji Nakai |
| Name: | Kenji Nakai |
| Title: | Managing Director & CE |
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| MU Investments Co., Ltd. | |
| By: | /s/ Yuya Saijo |
| Name: | Yuya Saijo |
| Title: | Senior Managing Director |
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| kabu.com Securities Co., Ltd. | |
| By: | /s/ Takeshi Amemiya |
| Name: | Takeshi Amemiya |
| Title: | General Manager of Corporate Administration |
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CUSIP No. 686330101
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| February 10, 2012 | |
|---|---|
| KOKUSAI Asset Management Co., Ltd. | |
| By: | /s/ Takeshi Dohi |
| Name: | Takeshi Dohi |
| Title: | General Manager, Investment Management Planning Dept. |
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