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PARAGON CARE LIMITED — Major Shareholding Notification 2018
Dec 26, 2018
65551_rns_2018-12-26_825f99a7-592d-4f3a-9522-2b51b433ab0f.pdf
Major Shareholding Notification
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Form 603 Corporations Act 2001
Notice of initial substantial holder
| To Company Name/Scheme | PARAGON CARE LIMITED | |||
|---|---|---|---|---|
| ACN/ARSN064 551 426 | ||||
| 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 | 19 December 2018 | |||
| The holder became aware on | 21 December 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 | 23,937.816 | 23.937.816 | 7.10% |
| Based on 337,126,739 OrdinaryShares 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 interestNature of relevant interest (7) | Class and numberof securities | |
|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanley has a relevantinterest in under section 608(3) of the Corporations Act as MitsubishiUFJ Financial Group, Inc. has voting power of over 20% in MorganStanley. | 12,399,237 OrdinaryShares |
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanley has a relevantinterest in under section 608(3) of the Corporations Act as MitsubishiUFJ Financial Group, Inc. has voting power of over 20% in MorganStanley, | 9.537.684 OrdinaryShares |
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanley has a relevantinterest in under section 608(3) of the Corporations Act as MitsubishiUFJ Financial Group, Inc. has voting power of over 20% in MorganStanlev. | 2,000,705 OrdinaryShares |
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanley has a relevantinterest in under section 608(3) of the Corporations Act as MitsubishiUFJ Financial Group, Inc. has voting power of over 20% in MorganStanlev. | 190 Ordinary Shares |
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 beregistered as holder (8) | Class and number ofsecurities |
|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | HSBC Custody Nominees (Australia)Limited | Not Applicable | 11,538,389 OrdinaryShares |
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Australia Securities(Nominee) Pty Limited | Not Applicable | 190 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | lUnknown | Not Applicable | 12,399,237 OrdinaryShares |
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:
| Date of acquisition | Consideration (9) | Class and number | ||
|---|---|---|---|---|
| Holder of relevant interest | (MM/DD/YY) | Cash | Non-Cash | interest of securities |
| Mitsubishi UFJ Financial Group, Inc. | 8/20/2018 | 141.75 | N/A | 180 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/20/2018 | 2,895.35 | N/A | 3,665 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/20/2018 | 65.99 | N/A | 83 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/21/2018 | 4,277.85 | N/A | 5,415 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/21/2018 | 2,051.90 | N/A | 2,581 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/22/2018 | 2,260.19 | N/A | 2,843 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/22/2018 | 7,586.37 | N/A | 9,603 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/23/2018 | 15,779.16 | N/A | 19,848 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/24/2018 | 1,583.16 | N/A | 2,004 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/27/2018 | 5,672.43 | N/A | 7,003 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/28/2018 | 3,323.98 | NΛ | 4,400 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/28/2018 | 2,039.72 | N/A | 2,700 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/29/2018 | 742.15 | NЛ÷, | 1,000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/29/2018 | 667.93 | N/A | 900 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/31/2018 | 2,348.95 | ΝA | 3,200 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/31/2018 | 1,394.69 | ΝA | 1,900 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/4/2018 | 6,459.00 | N/A | 8,612 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/4/2018 | 1,603.06 | N/A | 2,159 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/4/2018 | 22.35 | N/A | 30 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/4/2018 | 5,701.49 | N/A | 7,653 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/5/2018 | 7,581.87 | N/A | 10,177 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 3,306.90 | ΝA | 4,530 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 13,122.42 | $\alpha$N/A | 17,733 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 6,791.40 | N/A | 9,240 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 51.65 | N/A | 71 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 125.99 | N/A | 172 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 4,947.55 | N/A | 6,641 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/11/2018 | 3,318.75 | N/A | 4,500 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/12/2018 | 73.25 | N/A | 100 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/12/2018 | 396.90 | N/A | 540 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/13/2018 | 6,600.80 | ΝA | 8,920 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/13/2018 | 3.68 | N/A | 5 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/13/2018 | 667.48 | N/A | 902 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/14/2018 | 37.36 | NA | 51 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/14/2018 | 9,693.18 | NA | 13,188 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/14/2018 | 74.46 | ΝA | 102 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 24.99 | ΝA | 34 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 5,676.88 | ΝA | 7,750 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 4.37 | ΝIΑ | 6 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 262.24 | ΝA | 358 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 11.60 | NIA | 16 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 121.91 | NIA | 167 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 108.78 | N/A | 148 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/18/2018 | 237.80 | N/A | 328 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/18/2018 | 40.04 | N/A | 56 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/18/2018 | 453.07 | ΝA | 638 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | 943.74 | N/A | 1,284 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | 132.48 | N/A | 184 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | 6,299.17 | N/A | 8,629 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | N/A | Collateral Received by an | 2,586,018 Ordinary |
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:
| Date of acquisition | Consideration (9) | Class and number | ||
|---|---|---|---|---|
| Holder of relevant interest | (MM/DD/YY) | Cash | Non-Cash | interest of securities |
| Mitsubishi UFJ Financial Group, Inc. | 8/20/2018 | 141.75 | N/A | 180 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/20/2018 | 2,895.35 | NΙA | 3,665 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/20/2018 | 65.99 | N/A | 83 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/21/2018 | 4,277.85 | N/A | 5,415 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 8/21/2018 | 2,051.90 | N/A | 2,581 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 8/22/2018 | 2,260.19 | N/A | 2,843 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/22/2018 | 7,586.37 | N/A | 9,603 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/23/2018 | 15,779.16 | N/A | 19,848 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/24/2018 | 1,583.16 | N/A | 2,004 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/27/2018 | 5,672.43 | N/A | 7,003 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 8/28/2018 | 3,323.98 | N/A | 4,400 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/28/2018 | 2,039.72 | N/A | 2,700 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/29/2018 | 742.15 | N/A | 1,000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/29/2018 | 667.93 | N/A | 900 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/31/2018 | 2.348.95 | N/A | 3,200 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8/31/2018 | 1,394.69 | N/A | 1,900 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 9/4/2018 | 6,459.00 | N/A | 8,612 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/4/2018 | 1,603.06 | N/A | 2,159 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/4/2018 | 22.35 | N/A | 30 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/4/2018 | 5,701.49 | N/A | 7,653 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/5/2018 | 7,581.87 | N/A | 10,177 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 3,306.90 | N/A | 4,530 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 13,122.42 | N/A | 17,733 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 9/6/2018 | 6,791.40 | N/A | 9,240 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 9/6/2018 | 51.65 | N/A | 71 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 125.99 | N/A | 172 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/6/2018 | 4,947.55 | N/A | 6,641 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/11/2018 | 3,318.75 | N/A | 4,500 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/12/2018 | 73.25 | N/A | 100 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/12/2018 | 396,90 | N/A | 540 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/13/2018 | 6,600.80 | ΝA | 8,920 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/13/2018 | 3.68 | N/A | 5 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/13/2018 | 667.48 | N/A | 902 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/14/2018 | 37.36 | N/A | 51 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/14/2018 | 9,693.18 | N/A | 13,188 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/14/2018 | 74.46 | N/A | 102 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 24.99 | N/A | 34 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 5,676.88 | N/A | 7,750 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 4.37 | N/A | 6 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 262.24 | N/A | 358 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 11.60 | N/A | |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | $\sim$121.91 | N/A | 16 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/17/2018 | 108.78 | N/A | 167 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/18/2018 | 237.80 | 148 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 9/18/2018 | 40.04 | N/A | 328 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/18/2018 | 453.07 | N/A | 56 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | 943.74 | NΙA | 638 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | 132.48 | N/A | 1,284 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | 6,299.17 | N/A | 184 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/19/2018 | N/A | N/A | 8,629 Ordinary Shares |
| Collateral Received by an | 2,586,018 Ordinary |
$\overline{\mathbf{c}}$
| entity controlled byMorgan Stanley - seeAnnexure B | Shares | |||
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 9/20/2018 | N/A | Collateral Received by anentity controlled byMorgan Stanley - seeAnnexure B | 10,124,724 OrdinaryShares |
| Mitsubishi UFJ Financial Group, Inc. | 9/24/2018 | 121.18 | N/A | 166 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/24/2018 | 3,904.98 | N/A | 5,277 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/25/2018 | 1,387.68 | N/A | 1,888 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/25/2018 | 8,610.64 | N/A | 11,636 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/25/2018 | 52.74 | N/A | 72 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/27/2018 | 157.68 | N/A | 216 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/27/2018 | 34.31 | N/A | 47 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/27/2018 | 8,090.88 | N/A | 11,008 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/28/2018 | 502.01 | N/A | 683 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/28/2018 | 121.28 | N/A | 165 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9/28/2018 | 7,890.62 | N/A | 10,663 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/2/2018 | 253.08 | N/A | 342 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | $-10/2/2018$ | 101.47 | N/A | 139 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/2/2018 | 3,766.60 | N/A | 5,090 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/2/2018 | 3,680.86 | N/A | 4,991 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/2/2018 | 1,547.91 | N/A | 2.106 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/3/2018 | 270.48 | N/A | 368 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/3/2018 | 4,818.66 | N/A | 6,556 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/3/2018 | 6,214.49 | NIA | 8,513 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/3/2018 | 3,577.73 | N/A | 4,901 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/4/2018 | 9,607.52 | N/A | 12,896 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/4/2018 | 202.64 | N/A | 272 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/4/2018 | 52.15 | N/A | 70 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/4/2018 | 702.75 | N/A | 937 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/4/2018 | 89.67 | N/A | 122 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/5/2018 | 47.78 | N/A | 65 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/5/2018 | 128.02 | N/A | 173 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/5/2018 | 197.58 | N/A | 267 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/5/2018 | 124.32 | N/A | 168 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/5/2018 | 19.37 | N/A | 26 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/8/2018 | 0.73 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/8/2018 | 0.74 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/8/2018 | 2.19 | N/A | 3 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/9/2018 | 149.94 | N/A | 204 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/10/2018 | 168.93 | N/A | 233 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/11/2018 | 3.59 | N/A | 5 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/11/2018 | 4.32 | N/A | 6 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/11/2018 | 17.88 | N/A | 25 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/11/2018 | 48.24 | N/A | 67 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/11/2018 | 2,870 97 | N/A | 4,000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/11/2018 | 3.59 | N/A | 5 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/12/2018 | 2,590.08 | N/A | 3,648 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/12/2018 | 956.67 | N/A | 1,350 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/15/2018 | 0.72 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/15/2018 | 76.59 | N/A | 111 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 4.94 | N/A | 7 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 4.94 | N/A | 7 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 9.94 | N/A | 14 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 11.28 | N/A | 16 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 10.61 | N/A | 15 Ordinary Shares |
$\hat{\boldsymbol{\cdot}$
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 4,224.50 | N/A | 5,950 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 0.70 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 41.60 | N/A | 59 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 5.01 | N/A | 7 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/16/2018 | 494 | N/A | 7 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/18/2018 | 8,216.60 | N/A | 11,738 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/19/2018 | 7.05 | N/A | 10 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/19/2018 | 389.16 | N/A | 552 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/19/2018 | 35.71 | N/A | 151 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/19/2018 | 82.49 | N/A | 117 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/22/2018 | 86,10 | N/A | 123 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/22/2018 | 133.73 | N/A | 191 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/23/2018 | 621.98 | N/A | 908 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/23/2018 | 355.17 | N/A | 502 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/23/2018 | 4,475.13 | N/A | 6,303 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/23/2018 | 2,491.34 | N/A | 3,600 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/24/2018 | 6,942.60 | N/A | 9,918 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/24/2018 | 344.38 | N/A | |
| Mitsubishi UFJ Financial Group, Inc. | 10/25/2018 | 657.60 | N/A | 499 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/25/2018 | 997.28 | N/A | 960 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/26/2018 | 172.23 | N/A | 1,459 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/29/2018 | N/A | 250 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 10/30/2018 | 345,07 | NIA | 500 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 27.30 | $N/\overline{A}$ | 39 Ordinary Shares | |
| 10/30/2018 | 1,516.46 | N/A | 2,151 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 10/30/2018 | 959.51 | N/A | 1,361 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10/30/2018 | 7,132.30 | 10,189 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 10/31/2018 | 52.91 | N/A | 74 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/1/2018 | 3,073.07 | N/A | 4,298 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/1/2018 | 97.15 | N/A | 134 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/1/2018 | 3,247.92 | N/A | 4,511 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/1/2018 | 10,992.96 | N/A | 15,268 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 9.65 | N/A | 13 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 573.65 | N/A | 770 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 96.20 | N/A | 130 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 62.21 | N/A | 87 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 1.443.74 | N/A | 1,951 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 11/2/2018 | 32.89 | N/A | 46 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 446.03 | ΝIΑ | 611 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 444.71 | N/A | 603 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 637.88 | N/A | 862 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 146.16 | ΝA | 203 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 664.49 | N/A | 901 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/2/2018 | 1,384.01 | N/A | 1,883 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/5/2018 | 527.06 | N/A | 722 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/5/2018 | 56,79 | N/A | 77 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/5/2018 | 2,222.96 | N/A | 3,004 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/5/2018 | 56.21 | N/A | 77 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/5/2018 | 2,735.67 | N/A | 3,722 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/5/2018 | 4,471.01 | N/A | 6,083 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/5/2018 | 245.68 | N/A | 332 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/6/2018 | 3,546.08 | N/A | 4,792 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/6/2018 | 1,971.27 | N/A | 2,682 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/7/2018 | 1,295.66 | N/A | 1,745 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/7/2018 | 5,789.40 | N/A | |
| Mitsubishi UFJ Financial Group, Inc. | 11/7/2018 | 1,437.08 | N/A | 7,771 Ordinary Shares |
| 1,942 Ordinary Shares |
$\overline{\mathbf{4}}$
| Mitsubishi UFJ Financial Group, Inc. | 11/7/2018 | 1,697.56 | N/A | 2,294 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 11/7/2018 | 160.23 | N/A | 218 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/7/2018 | 1,380.10 | N/A | 1,865 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/8/2018 | 8,668.80 | N/A | 11,520 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/8/2018 | 0.75 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/12/2018 | 1,580.97 | N/A | 2,094 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/12/2018 | 485.47 | N/A | 643 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/13/2018 | 2,470.49 | NIA | 3,305 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/13/2018 | 594 | N/A | 8 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/13/2018 | 1,387.94 | N/A | 1,863 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/14/2018 | 2,260.33 | N/A | 3,034 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/14/2018 | 306.60 | N/A | 420 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/15/2018 | 3,910.75 | N/A | 5,267 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/15/2018 | 1,776.74 | N/A | 2,401 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/16/2018 | 3,762.16 | N/A | 5,084 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/16/2018 | 1,793.40 | N/A | 2,440 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/16/2018 | 131.72 | N/A | 178 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/19/2018 | 5,648.74 | N/A | 7,738 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/20/2018 | 110.96 | N/Α | 152 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/20/2018 | 7.35 | N/A | 10 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/21/2018 | 4.788.60 | N/A | 6,940 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/21/2018 | 924.35 | N/A | 1,330 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/21/2018 | 1.38 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/22/2018 | 7,803.13 | N/A | 11,350 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/22/2018 | 227.96 | N/A | 328 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/22/2018 | 947.36 | N/A | 1,383 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/22/2018 | 1,180.59 | N/A | 1.711 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/23/2018 | 569.16 | N/A | 837 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/23/2018 | 5,691.60 | N/A | 8,370 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/23/2018 | 2.013.38 | N/A | 2,950 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/23/2018 | 882.64 | N/A | 1,298 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/23/2018 | 513.24 | N/A | 752 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/23/2018 | 5.48 | N/A | 8 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 56.86 | N/A | 83 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 229.16 | N/A | 337 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 232.53 | N/A | 337 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 230.85 | N/A | 337 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 60.52 | N/A | 89 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 53.82 | N/A | 78 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 247.50 | N/A | 360 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 494.84 | N/A | 712 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 7,660.20 | N/A | 11,265 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/26/2018 | 7.65 | N/A | 11 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/27/2018 | 209.48 | N/A | 315 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/27/2018 | 241.20 | N/A | 360 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/27/2018 | 8,515.03 | N/A | 12,709 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/27/2018 | 1,616.62 | N/A | 2,431 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/28/2018 | 1,911.51 | N/A | 2,853 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/28/2018 | 1,331.33 | N/A | 2,002 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/28/2018 | 7,607.85 | N/A | 11,355 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/29/2018 | 346.50 | N/A | 525 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/29/2018 | 2,251.20 | N/A | 3,360 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/29/2018 | 6,334.58 | N/A | 9,490 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/29/2018 | 312.83 | N/A | 485 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11/30/2018 | 3,465.59 | N/A | 5,373 Ordinary Shares |
- C
| Mitsubishi UFJ Financial Group, Inc. | 11/30/2018 | 4.668.16 | N/A | 7,294 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 11/30/2018 | 183.83 | N/A | 285 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 11/30/2018 | 250.19 | N/A | 394 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/3/2018 | 199.26 | N/A | 324 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/4/2018 | 1,305.10 | N/A | 2,105 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/5/2018 | 4 162 50 | N/A | 6,660 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/5/2018 | 341.25 | N/A | 546 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/5/2018 | 84.38 | N/A | 135 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/5/2018 | 5,177.00 | N/A | 8,350 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/6/2018 | 4,102.40 | N/A | 6,410 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/6/2018 | 2,902.59 | N/A | 4,571 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/6/2018 - | 803.44 | N/A | 1,328 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/6/2018 | 3,009.48 | N/A | 4,854 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 219.24 | N/A | 348 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 66.04 | N/A | 104 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 288.75 | N/A | 462 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 341.94 | N/A | 556 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 1,257.21 | N/A | 2,061 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 54,18 | N/A | 86 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 425.00 | N/A | 680 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 5,777.87 | N/A | 9,099 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 22.32 | N/A | 36 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 73.20 | N/A | 120 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/7/2018 | 3,770.00 | N/A | 6,032 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/11/2018 | 135.04 | N/A | 211 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 12/11/2018 | 85.12 | N/A | 133 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/11/2018 | 6.93 | N/A | 11 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/11/2018 | 3,885.00 | N/A$\bar{I}$ | 6,000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/11/2018 | 4,862.21 | N/A | 7,627 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/11/2018 | 144.30 | N/A | 222 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/12/2018 | 418.95 | N/A | 665 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/13/2018 | 243.75 | N/A | 390 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/13/2018 | 14.49 | N/A | 23 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/13/2018 | 73.75 | N/A | 118 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/13/2018 | 1.24 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/13/2018 | 70.06 | N/A | 113 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/13/2018 | 17.92 | N/A | |
| Mitsubishi UFJ Financial Group, Inc. | 12/13/2018 | 8.89 | N/A | 28 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 46.07 | N/A | 14 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 119.70 | N/A | 74 Ordinary Shares190 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 380.55 | N/A | |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | $\mathcal{I}=\mathcal{I}$ .1,170.63 | N/A | 590 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 4,607.88 | N/A | 1,873 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 57.79 | N/A | 7,144 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 47.25 | N/A | 91 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 262.26 | N/A | 75 Ordinary Shares |
| N/A | 423 Ordinary Shares | |||
| Mitsubishi UFJ Financial Group, Inc.Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 79.69 | N/A | 125 Ordinary Shares |
| 12/14/2018 | 339.38 | N/A | 543 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 4,277.07 | N/A | 6,789 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/14/2018 | 1,041.28 | N/A | 1,627 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/17/2018 | 5,562.48 | N/A | 8,624 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/17/2018 | 1,967.23 | N/A | 3,098 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/17/2018 | 66.04 | N/A | 104 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/17/2018 | 1,304.73 | N/A | 2,071 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12/17/2018 | 844.16 | 1,319 Ordinary Shares |
$\mathcal{F}_{\mathcal{G}}$
| Mitsubishi UFJ Financial Group, Inc. | 12/18/2018 | 120.65 | NIA | 190 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 12/18/2018 | NIA | Collateral Received by anentity controlled byMorgan Stanley - seeAnnexure B | 12,642,252 OrdinaryShares |
| Mitsubishi UFJ Financial Group, Inc. | 12/19/2018 | N/A | Collateral Received by anentity controlled byMorgan Stanley - seeAnnexure B | 9,294,669 OrdinaryShares |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
$\bar{\epsilon}$
| 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. undersection 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 |
$\overline{\mathbf{7}}$
Signature
| print name | Tetsuva Shigemoto | capacity | Authorised signatory |
|---|---|---|---|
| sign here | $\mathcal{O}(\mathcal{A})$ | date | 27 December 2018 |
ANNEXURE "A"
This is Annexure "A" of 5 pages referred to in the Form 603 (Notice of initial substantial holder), signed by me and dated 27 December 2018.
8
Signed: Tetsuya Shigemoto
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 Nagoya Co., Ltd. MU Center Service Osaka 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. 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 Life Science 1, Limited Partnership Tohoku Senary Industry Support, Limited Partnership OIDE Fund Investment Limited Partnership Mitsubishi UFJ Financial Partners Co., Ltd. The Mitsubishi Asset Brains Company, Limited BOT Lease Co., Ltd. The Chukyo Bank, Ltd. Nippon Mutual Housing Loan Co., Ltd. JM Real Estate Co., Ltd. Jibun Bank Corporation JACCS CO., LTD. JALCARD Inc. Yume Shokei Fund No.2 Marunouchi Capital Fund II Limited Partnership M·U·Trust Sougou Kanri Co., Ltd. Mitsubishi UFJ Trust Business Co., Ltd. Ryoshin Data Co., Ltd.
Mitsubishi UFJ Trust Systems Co., Ltd. Mitsubishi UFJ Trust Investment Technology Institute Co., Ltd. Mitsubishi UFJ Trust Hosyo Co., Ltd. M.U. Trust. Apple Planning Company, Ltd. 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. Tokumei-Kumiai (RICE) TOKKINGAI (Fund Number.900338) TOKKINGAI (Fund Number.900327) AMP Capital Investors KK MM Partnership MUS Information Systems Co., Ltd. MUS Business Service Co., Ltd. Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. Mitsubishi UFJ Morgan Stanley PB Securities Co., Ltd. kabu.com Securities Co., Ltd. Morgan Stanley MUFG Securities Co., Ltd. Mitsubishi UFJ NICOS Co., Ltd. Card Business Service Co., Ltd. MU NICOS Business Service Co., Ltd. MU NICOS Credit Co., Ltd. Ryoshin DC Card Company Ltd. JMS Co., Ltd. Paygent Co., Ltd. JA Card Co., Ltd ACOM CO., LTD. IR Loan Servicing, Inc. MU Credit Guarantee Co., Ltd. Japan Digital Design, Inc. Mitsubishi UFJ Personal Financial Advisers Co., Ltd. Mitsubishi Research Institute DCS Co., Ltd. HR Solution DCS Co..Ltd. Mitsubishi UFJ Lease & Finance Company Limited Hitachi Capital Corporation Nihombashi TG Jigyo Kyodo Kumiai NIHOMBASHI TG SERVICE CO., LTD. SHIN-NIHOMBASHI TSUSHO CO., LTD. Solution Design Co., 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 MUFG Europe Lease (Deutschland) GmbH MUFG Bank (Malaysia) Berhad MUFG North America International, Inc. MUFG Bank Mexico, S.A. MUFG Nominees (HK) Limited MUFG Nominees (UK) Limited MUFG Americas Holdings Corporation MUFG Union Bank, N.A. Union Bank of California Leasing, Inc. UBOC Community Development Corporation UnionBanc Investment Services, LLC Bankers Commercial Corporation UnionBanCal Equities, Inc.
9
UnionBanCal Leasing Corporation UnionBanCal Mortgage Corporation Mills-Ralston, Inc. HighMark Capital Management, Inc. BCC OX I. 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. MUFG Americas Leasing Corporation MUFG Americas Financial Services, Inc. MUFG Americas Leasing (Canada) Corporation MUFG Americas Leasing & Finance, Inc. MUFG Americas Capital Leasing & Finance, LLC MUFG Americas Corporate Advisory, Inc. MUFG Americas LF Capital LLC MUFG Americas Capital Company MUFG Fund Services (USA) LLC MUFG Securities Americas Inc. MUFG Capital Analytics LLC MUFG Investor Services (US), LLC 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 MUFG Bank (Eurasia) MUFG Bank (China), Ltd. BTMU Preferred Capital 7 Limited BTMU Preferred Capital 8 Limited BTMU Preferred Capital 9 Limited BTMU Liquidity Reserve Investment Limited MUFG Bank Turkey Anonim Sirketi Bank of Ayudhya Public Company Limited Krungsri Ayudhya AMC Limited Krungsri Factoring Company Limited Ayudhya Development Leasing Company Limited Ayudhya Capital Auto Lease Public Company Limited Krungsriayudhya Card Company Limited General Card Services Limited Ayudhya Capital Services Company Limited Krungsri General Insurance Broker Limited Krungsri Life Assurance Broker Limited Krungsri Asset Management Company Limited
10
Total Services Solutions Public Company Limited Ngern Tid Lor Company Limited Krungsri Securities Public Company Limited Siam Realty and Services Security Co., Ltd. Krungsri Leasing Services Co., Ltd. Hattha Kaksekar Limited Krungsri Finnovate Co., Ltd. Tesco Card Services Limited BTMU Liquidity Reserve Investment 2 Limited BTMU Liquidity Reserve Investment 3 Limited BOT Lease (HK) Co., Ltd. PT Bumiputera - BOT Finance BOT Lease Holding Philippines, Inc. BOT Lease and Finance, Philippines, Inc. BOT Lease (Thailand) Co., Ltd. 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 BOT Lease (Tianjin) Co., Ltd. BOTL Factoring (Shanghai) Co., Ltd. BOT LEASE MEXICO S.A. DE C.V. GOLDEN ASIA FUND VENTURES LTD. Lakefield Wind Project OP Trust Lakefield Wind Project, LLC Pacwind Holdings Lessor Trust Pacific Wind, LLC Vietnam Joint Stock Commercial Bank for Industry and Trade GOLDEN ASIA FUND II, L.P. Security Bank Corporation Mitsubishi UFJ Trust International Limited Mitsubishi UFJ Baillie Gifford Asset Management Limited Mitsubishi UFJ Investor Services & Banking (Luxembourg) S.A. MUFG Lux Management Company S.A. 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 (Cayman) Limited MUFG Fund Services (Cayman) Group Limited MUFG Fund Services (Ireland) Limited Fund Secretaries Limited MUFG Fund Services Limited MUFG Fund Services (Canada) Limited MUFG Fund Services (UK) Limited MUFG Fund Services (Halifax) Limited MUFG Family Office Services Limited MUFG Fund Services (Singapore) Pte. Ltd. MUFG Fund Services (Hong Kong) Limited MUFG Alternative Fund Services (Cayman) Limited Firtown International Holdings Ltd. General Secretaries Ltd. AFS Controlled Subsidiary 1 Ltd. AFS Controlled Subsidiary 2 Ltd. AFS Controlled Subsidiary 3 Ltd. MUFG Alternative Fund Services (Ireland) Limited MUFG Alternative Fund Services (Jersey) Limited MUFG Jersey Management Company Limited SWS MU FUND MANAGEMENT CO., LTD. SWSMU (SHANGHAI) ASSETS MANAGEMENT COMPANY LIMITED AMP Capital Holdings Limited MUFG Global Fund SICAV MUFG Securities EMEA plc
MUFG Securities(Europe) N.V. MUFG Securities Asia (Singapore) Limited MUFG Securities Asia Limited Mitsubishi UFJ Wealth Management Bank (Switzerland), Ltd. MUFG Securities (Canada), Ltd. EASY BUY Public Company Limited PT. Bank Nusantara Parahyangan, Tbk. ACOM CONSUMER FINANCE CORPORATION MUFG Capital Finance 7 Limited MUFG Capital Finance 8 Limited MUFG Capital Finance 9 Limited GOLDEN ASIA FUND, L.P. DCS Information Technology (Shanghai) Co., Ltd MRIDCS Americas, Inc. Morgan Stanley Purple Finance (Cayman) International Ltd. Bangkok Mitsubishi UFJ Lease Co., Ltd The California-Sansome Corporation
À,
$12$
ANNEXURE "B"
This is Annexure "B" of 3 pages referred to in the Form 603 (Notice of initial substantial holder), signed by me and dated 27 December 2018.
Signed: Tetsuya Shigemoto
| Schedule | ||
|---|---|---|
| Type of Agreement | Global Master Securities Lending Agreement | |
| Parties to agreement | Morgan Stanley & Co. International plc and SPECIFIED MONEY TRUST | |
| FUND NO.400076161 FOR TOKYO ELECTRON LIMITED ENTRUSTED TO | ||
| THE MASTER TRUST BANK OF JAPAN, LTD. | ||
| Transfer Date | 20181218; 20181219; | |
| 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 ANO | |
| 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 AHO | |
| 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 | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co International plc for itself and as agent and |
| trustee for and on behalf of the other Morgan Stanley Companies and | |
| THE TRUST COMPANY (RE SERVICES) LIMITED AS RESPONSIBLE ENTITY | |
| FOR MONASH ABSOLUTE INVESTMENT FUND | |
| Transfer Date | 20181219: |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the |
| Client. | |
| 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 Prime broker may return shares which were rehypothecated from the client at any time. | |
| Does the lender have the right to recall early? | Yes Ale |
| If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by | |
| the client. | |
| Will the securities be returned on settlement? | 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 for itself and as agent andtrustee for and on behalf of the other Morgan Stanley Companies andVERMILION PEAK MASTER FUND | |
| Transfer Date | 20181219 | |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from theClient. | |
| 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 Prime broker may return shares which were rehypothecated from the client at any time. | ||
| Does the lender have the right to recall early? | Yes /No | |
| the client. | If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by | |
| Will the securities be returned on settlement? | Yes Ale | |
| lfrom detail eas associations. However, From all Policity about 1998 to the contract of the contract of the contract of the contract of the contract of the contract of the contract of the contract of the contract of the co |
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 for itself and as agent and | |
| trustee for and on behalf of the other Morgan Stanley Companies andELLERSTON CAPITAL LIMITED AS RESPONSIBLE ENTITY FOR ELLERSTONAUSTRALIAN MARKET NEUTRAL FUND | ||
| Transfer Date | 20181219: | |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the | |
| Client. | ||
| 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 /No | |
| If yes, detail Prime broker may return shares which were rehypothecated from the client at any time. | ||
| Does the lender have the right to recall early?Yes /No | ||
| If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by | ||
| the client. | ||
| Will the securities be returned on settlement? | 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 for itself and as agent and | |
| trustee for and on behalf of the other Morgan Stanley Companies and | ||
| KARST PEAK ASIA MASTER FUND | ||
| Transfer Date | 20181219. | |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the | |
| Client. | ||
| 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 Prime broker may return shares which were rehypothecated from the client at any time. | ||
| Does the lender have the right to recall early?Yes /No | ||
| If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by | ||
| the client. | ||
| Will the securities be returned on settlement? | 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 | |
| 14 |
| Parties to agreement | |
|---|---|
| Morgan Stanley & Co International plc for itself and as agent and | |
| trustee for and on behalf of the other Morgan Stanley Companies and | |
| MONASH ABSOLUTE INVESTMENT COMPANY LIMITED | |
| Transfer Date | 20181219 |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the |
| Client. | |
| 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 Prime broker may return shares which were rehypothecated from the client at any time. | |
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by | |
| the client. | |
| Will the securities be returned on settlement? | 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.