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PEET LIMITED — Major Shareholding Notification 2023
Jan 26, 2023
65600_rns_2023-01-26_2b111c9e-64f7-40ff-bfd9-b19343a2dc1b.pdf
Major Shareholding Notification
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Form 603
Corporations Act 2001 Section 671B Notice of initial substantial holder
| To: Company Name/Scheme: | Peet Limited |
|---|---|
| ACN/ARSN: | 008 665 834 |
| 1. Details of substantial holder | |
| Name | Mitsubishi UFJ Financial Group, Inc. |
| The holder became a substantial holder on: | 24 January 2023 |
The holder became aware on: 26 January 2023
- Details of voting power
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate had a relevant interest in on the date the substantial holder became a substantial holder are as follows:
| Class of securities | Number of securities | Person's votes | Voting power (%) |
|---|---|---|---|
| Fully Paid ordinary shares | 26,480,941 | 26,480,941 | 5.59% |
3. Details of relevant interests
The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:
| Holder of relevant interest | Nature of relevant interest | Class and number of securities |
|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanleyhas a relevant interest in under section 608(3) ofthe Corporations Act as Mitsubishi UFJ FinancialGroup, Inc. has voting power of over 20% inMorgan Stanley. | 25,849,254 Fully paid ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanleyhas a relevant interest in under section 608(3) ofthe Corporations Act as Mitsubishi UFJ FinancialGroup, Inc. has voting power of over 20% inMorgan Stanley. | 11,502 Fully paid ordinary shares |
| Mitsubishi UFJ Financial Group, Inc. | Relevant interest in securities that Morgan Stanleyhas a relevant interest in under section 608(3) ofthe Corporations Act as Mitsubishi UFJ FinancialGroup, Inc. has voting power of over 20% inMorgan Stanley. | 620,185 Fully paid 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 | Registered holder of | Person entitled to be | |
|---|---|---|---|
| interest | securities | registered as holder | Class and number of securities |
| Mitsubishi UFJ Financial Group, Inc. | HSBC Custody Nominees | 25,860,756 Fully paid ordinary | |
| (Australia) Limited | Not applicable | shares | |
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Australia | 620,185 Fully paid ordinary | |
| Securities (Nominee) Pty Limited | Not applicable | shares |
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:
| Holder of relevantinterest | Date of acquisition | Consideration | Class and number of securities | |
|---|---|---|---|---|
| Cash | Non-cash | |||
| See annexure B to this notice |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
Form603
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
| See annexure A to this notice | Each company referred to is an associate of Mitsubishi UFJ Financial Group, Inc. under section 12 ofthe 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
Authorised signatory
Dated 27 January 2023
AnnexureA
Annexure A
This is annexure A of 4 pages referred to in Form 603, Notice of initial substantial holder dated 27 January 2023
Authorised signatory Dated 27 January 2023
SCHEDULE
MUFG Bank, Ltd. Mitsubishi UFJ Trust and Banking Corporation Mitsubishi UFJ Securities Holdings Co., Ltd. The Mitsubishi UFJ Factors Limited Mitsubishi UFJ Jinji Service Co., Ltd. MU Techno-service Co., Ltd. Tokyo Credit Service, Ltd. 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. Mitsubishi UFJ Business Partner 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. Digital Governance Academy Asia-Pacific Co., Ltd. MU Frontier Servicer Co., Ltd. Otemachi Guarantee Co., Ltd. GD Holdings Company Limited MU Loan Administration Support Co., Ltd. MU Communications Co.,Ltd. Japan Electronic Monetary Claim Organization MUT Business Outsourcing Co., Ltd. Mezzanine Solution III Limited Partnership Mezzanine Solution IV Limited Partnership Matsuri LLC BusinessTech Co.,Ltd Tokumei-Kumiai (KAIDAN) MUFG Trading, Ltd. Mitsubishi UFJ Capital Co., Ltd. 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 Ⅶ, Limited Partnership Mitsubishi UFJ Capital Ⅷ,Limited Partnership Mitsubishi UFJ Life Science 2, Limited Partnership Mitsubishi UFJ Life Science 3, Limited Partnership Tohoku Senary Industry Support, Limited Partnership OiDE Fund Investment Limited Partnership Mitsubishi UFJ Personal Financial Advisers Co., Ltd. Mitsubishi UFJ Financial Partners Co., Ltd. The Mitsubishi Asset Brains Company, Limited BOT Lease Co., Ltd. Nippon Mutual Housing Loan Co., Ltd. JM Real Estate Co., Ltd. au Jibun Bank Corporation JACCS CO.,LTD. JALCARD Inc. Yume Shokei Fund No.2 Yume Shokei Fund No.3 Marunouchi Capital Fund II Limited Partnership Recruit MUFG Business Co., Ltd. Cotra Ltd. Biz Forward, Inc. 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) Tokumei-Kumiai (Gate Bridge 1) Tokumei-Kumiai (CM2) Tokumei-Kumiai (CM3) Tokumei-Kumiai (FIELD) Tokumei-Kumiai (HORSE) Tokumei-Kumiai (BRIDGE) Tokumei-Kumiai (FST) Tokumei-Kumiai (YUTORI) Tokumei-Kumiai (SUNSHINE2) Tokumei-Kumiai (FLEUR) Tokumei-Kumiai (HAWK) Tokumei-Kumiai (FLAG) Tokumei-Kumiai (SUNSHINE3) Tokumei-Kumiai (STONE) Tokumei-Kumiai (HERBS) Tokumei-Kumiai (SUNSHINE4) Tokumei-Kumiai (PALACE) Tokumei-Kumiai (LEAF) Human Resources Governance Leaders Co., Ltd. Mitsubishi UFJ Alternative Investments Co., Ltd. MU Trust Property Management Co., Ltd. Tokumei-Kumiai (RICE) TOKKINGAI (Fund Number.900338) TOKKINGAI (Fund Number.900327) TOKKINGAI (Fund Number.900344) MM Partnership MUS Information Systems Co., Ltd. MUS Business Service Co., Ltd. Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. au kabu.com Securities Co., Ltd. Morgan Stanley MUFG Securities Co., Ltd. Mitsubishi UFJ NICOS Co., Ltd. Card Business Service 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. GeNiE Inc. Japan Digital Design, Inc. Global Open Network, Inc. Global Open Network Japan, Inc. MUFG Innovation Partners Co., Ltd. MUFG Innovation Partners No.1 Investment Partnership MUFG Innovation Partners No.2 Investment Partnership Mitsubishi Research Institute DCS Co., Ltd. Mitsubishi HC Capital Inc. Solution Design Co.,ltd. Nippon Record Keeping Network Co., Ltd. Mitsubishi UFJ Financial Partners Co.,Ltd. Mitsubishi UFJ Life Science 1, Limited Partnership Banco MUFG Brasil S.A. BTMU (Curacao) Holdings N.V. MUFG Bank (Europe) N.V. MUFG Funding (UK) Limited MUFG Europe Lease (Deutschland) GmbH i.L. 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 Shiloh Ⅳ Wind Project, LLC Shiloh Ⅳ Holdings Lessor Trust Green Union I Trust Green Union II Trust Green Union III Trust MUFG Americas Funding Corporation 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 LF Capital LLC MUFG Americas Capital Company MUFG Fund Services (USA) LLC MUFG Securities Americas Inc. MUFG Capital Analytics LLC MUFG Investor Services (US), LLC Intrepid Investment Bankers LLC Catalina Solar Holdings Lessor Trust Catalina Solar, LLC Morgan Stanley MUFG Loan Partners, LLC 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 Liquidity Reserve Investment Limited MUFG Bank Turkey Anonim Sirketi Bank of Ayudhya Public Company Limited Krungsri Ayudhya AMC Limited Krungsri Nimble Company Limited Ayudhya Development Leasing Company Limited Ayudhya Capital Auto Lease Public Company Limited Krungsriayudhya Card Company Limited General Card Services Limited Ayudhya Capital Services Company Limited Krungsri General Insurance Broker Limited Krungsri Life Assurance Broker Limited Krungsri Asset Management Company Limited Total Services Solutions Public Company Limited Ngern Tid Lor Public Company Limited Krungsri Securities Public Company Limited Siam Realty and Services Security Co.,Ltd. Krungsri Leasing Services Co., Ltd. HATTHA Bank Plc. Krungsri Finnovate Co., Ltd. Hattha Services Co., LTD. Krungsri Non-deposit Taking Microfinance Institution Co., Ltd Lotus' s Money Services Finnoventure Private Equity Trust I BTMU Liquidity Reserve Investment 2 Limited BTMU Liquidity Reserve Investment 3 Limited PT Guna Dharma PT Bank Danamon Indonesia, Tbk. PT Adira Quantum Multifinance PT Adira Dinamika Multi Finance Tbk PT Zurich Asuransi Indonesia Tbk MUFG Enterprise Solutions India Private Limited 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 (Tianjin) Co., Ltd. BOTL Factoring (Shanghai) Co., Ltd. BOT LEASE MEXICO S.A. DE C.V. BOT FINANCE MEXICO, S.A. DE C.V., SOFOM, E.N.R. GOLDEN ASIA FUND VENTURES LTD. Lakefield Wind Project OP Trust Lakefield Wind Project, LLC Pacwind Holdings Lessor Trust Pacific Wind, LLC Vietnam Joint Stock Commercial Bank for Industry and Trade GOLDEN ASIA FUND II, L.P. Security Bank Corporation GOLDEN ASIA FUND III, L.P. Mars Growth Capital Pte. Ltd. Mars Growth Capital Fund1, LP SB Finance Company, Inc. Mars Growth Capital Pre-Unicorn Fund, LP Drakefield Holdco S.àr.l. Mitsubishi UFJ Trust International Limited Mitsubishi UFJ Baillie Gifford Asset Management Limited Mitsubishi UFJ Investor Services & Banking (Luxembourg) S.A. MUFG Lux Management Company S.A. Mitsubishi UFJ Asset Management (UK) Ltd. LUX J1 FUND MUFG Investor Services Holdings Limited MUFG Fund Services (Bermuda) Limited MUFG Fund Services (Cayman) Limited MUFG Fund Services (Cayman) Group Limited MUFG Fund Services (Ireland) Limited
Fund Secretaries Limited MUFG Fund Services Limited MUFG Fund Services (Canada) Limited MUFG Fund Services (UK) Limited MUFG Fund Services (Halifax) Limited MUFG Fund Services (Singapore) Pte. Ltd. MUFG Fund Services (Hong Kong) Limited MUFG Alternative Fund Services (Cayman) Limited Firtown International Holdings Ltd. General Secretaries Ltd. AFS Controlled Subsidiary 1 Ltd. AFS Controlled Subsidiary 2 Ltd. AFS Controlled Subsidiary 3 Ltd. MUFG Alternative Fund Services (Ireland) Limited MUFG Alternative Fund Services (Jersey) Limited MUFG Jersey Management Company Limited MUFG Controlled Subsidiary 1 (Cayman) Limited MUFG Fund Services (Cayman)2 Limited MUFG Fund Services (Halifax)2 Limited MUFG Fund Services (Cyprus) Limited MUFG Investor Services FinTech Limited MCC Asset Management (Cayman) Ltd. SWS MU FUND MANAGEMENT CO.,LTD. SWSMU (SHANGHAI) ASSETS MANAGEMENT COMPANY LIMITED MUFG Securities EMEA plc MUFG Securities (Europe) N.V. MUFG Securities Asia Limited MUFG Securities (Canada), Ltd. EASY BUY Public Company Limited ACOM CONSUMER FINANCE CORPORATION ACOM (M) SDN. BHD. MRIDCS Americas, Inc. Morgan Stanley Purple Finance (Cayman) International Ltd. ROPEBURY LIMITED The California-Sansome Corporation FIRST SENTIER INVESTORS (LUXEMBOURG) EDIF II GP S.Á.R.L (COMPANY NO. B204413) FIRST SENTIER INVESTORS (AUSTRALIA) IM LTD (ACN 114 194 311) FIRST SENTIER INVESTORS (AUSTRALIA) INFRASTRUCTURE HOLDINGS LTD (ACN 085 313 926) FIRST SENTIER INVESTORS (AUSTRALIA) INFRASTRUCTURE MANAGERS PTY LTD (ACN 101 384 294) FIRST SENTIER INVESTORS (AUSTRALIA) IP HOLDINGS PTY LIMITED (ACN 625 765 399) FIRST SENTIER INVESTORS (AUSTRALIA) RE LTD (ACN 006 464 428) FIRST SENTIER INVESTORS (AUSTRALIA) SERVICES PTY LIMITED (ACN 624 305 595) FIRST SENTIER INVESTORS (HONG KONG) NOMINEES LIMITED (CR NO. 0206615) FIRST SENTIER INVESTORS (HONG KONG) AMC LIMITED (CR NO. 0580652) FIRST SENTIER INVESTORS (HONG KONG) LIMITED (CR NO. 0206616) FIRST SENTIER INVESTORS ASIA HOLDINGS LIMITED (ACN 054 571 701) FIRST SENTIER INVESTORS EUROPE HOLDINGS LIMITED (COMPANY NO. 03904310) FIRST SENTIER INVESTORS REALINDEX PTY LTD (ACN 133 312 017) FIRST SENTIER INVESTORS (LUXEMBOURG) EDIF I FEEDERS MC S.A.R.L (COMPANY NO. B134314) FIRST SENTIER INFRASTRUCTURE MANAGERS (INTERNATIONAL) LIMITED (COMPANY NO. 298444) FIRST SENTIER INVESTORS (UK) IM LIMITED (COMPANY NO. SC047708) FIRST SENTIER INVESTORS (UK) SERVICES LIMITED (COMPANY NO. 03904320) FIRST SENTIER INVESTORS (IRELAND) LIMITED (COMPANY NO. 629188) FIRST SENTIER INVESTORS (JAPAN) LIMITED (COMPANY NUMBER 0104-01-093090) FIRST SENTIER INVESTORS (SINGAPORE) (REGISTRATION NO. 196900420D) FIRST SENTIER INVESTORS (UK) FUNDS LIMITED (COMPANY NO. 02294743) FIRST SENTIER INVESTORS (US) LLC (FILE NUMBER 546 9442) FIRST SENTIER INVESTORS (LUXEMBOURG) EDIF I MC S.A.R.L (COMPANY NO. B128117) FIRST SENTIER INVESTORS (SINGAPORE) HOLDINGS LIMITED (REGISTRATION NO. 199901706Z) FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED (COMPANY NO. SC079063) FSIB LTD (REGISTRATION NO. 26193)
SI HOLDINGS LIMITED (COMPANY NO. SC109439)
AnnexureB
Annexure B
This is annexure B of 6 pages referred to in Form 603, Notice of initial substantial holder dated 27 January 2023
Authorised signatory Dated 27 January 2023
| Holder of relevant interest | Date of acquisition | Consideration cash | Consideration non-cash | Class and number ofsecurities affected |
|---|---|---|---|---|
| Mitsubishi UFJ FinancialGroup, Inc. | 26/09/2022 | 1.10 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 26/09/2022 | 148.65 | N/A | 137 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 04/10/2022 | 619.94 | N/A | 556 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 04/10/2022 | 3.38 | N/A | 3 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 04/10/2022 | 714.56 | N/A | 638 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 04/10/2022 | 907.39 | N/A | 803 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 05/10/2022 | 18.16 | N/A | 16 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/10/2022 | 1539.57 | N/A | 1,387 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 21/10/2022 | 543.90 | N/A | 518 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 31/10/2022 | 79.20 | N/A | 72 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 02/11/2022 | 192.50 | N/A | 175 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 10/11/2022 | 272500.00 | N/A | 250,000 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 01/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 22,839,021 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 02/12/2022 | 1.15 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 02/12/2022 | 11.65 | N/A | 10 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ FinancialGroup, Inc. | 02/12/2022 | 1.15 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 02/12/2022 | 2.31 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 02/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 3,940,490 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 05/12/2022 | 228.26 | N/A | 202 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 05/12/2022 | 565.23 | N/A | 498 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 05/12/2022 | 2.21 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 06/12/2022 | 542.73 | N/A | 474 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 06/12/2022 | 10.22 | N/A | 9 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 06/12/2022 | 509.63 | N/A | 451 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 06/12/2022 | 541.50 | N/A | 475 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/12/2022 | 2.28 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/12/2022 | 1.13 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/12/2022 | 210.60 | N/A | 195 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/12/2022 | 111.00 | N/A | 100 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/12/2022 | 2.26 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/12/2022 | 2.27 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 07/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 3,643,478 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 08/12/2022 | 80.67 | N/A | 73 Ordinary Shares |
AnnexureB
| Mitsubishi UFJ FinancialGroup, Inc. | 09/12/2022 | 3360.50 | N/A | 3,055 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ FinancialGroup, Inc. | 12/12/2022 | 2.18 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 12/12/2022 | 2.21 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 12/12/2022 | 1.12 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 12/12/2022 | 2.22 | N/A | 2 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 12/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 26,651,736 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 13/12/2022 | 155.81 | N/A | 141 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 13/12/2022 | 287.49 | N/A | 259 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 13/12/2022 | 1382.99 | N/A | 1,263 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 13/12/2022 | 88.97 | N/A | 82 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 79.94 | N/A | 73 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 499.22 | N/A | 458 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 1075.00 | N/A | 1,000 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 2715.90 | N/A | 2,469 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 81.32 | N/A | 76 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 553.32 | N/A | 522 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 68.80 | N/A | 64 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | 34.08 | N/A | 32 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 14/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 23,008,263 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 884.00 | N/A | 800 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 15.90 | N/A | 15 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 686.31 | N/A | 634 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 648.86 | N/A | 605 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 330.00 | N/A | 300 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 1069.63 | N/A | 995 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 103.40 | N/A | 94 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 972.00 | N/A | 900 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 1100.00 | N/A | 1,000 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 1077.16 | N/A | 1,021 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 15/12/2022 | 71.61 | N/A | 66 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 16/12/2022 | 1160.95 | N/A | 1,085 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 16/12/2022 | 322.50 | N/A | 300 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 16/12/2022 | 636.12 | N/A | 589 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 16/12/2022 | 356.92 | N/A | 323 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 19/12/2022 | 1.14 | N/A | 1 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 19/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 15,796,098 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 20/12/2022 | 1194.60 | N/A | 1,086 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 21/12/2022 | 700.91 | N/A | 646 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 21/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 332,445 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ FinancialGroup, Inc. | 23/12/2022 | 700.90 | N/A | 652 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 23/12/2022 | 1700.23 | N/A | 1,589 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 29/12/2022 | 11.77 | N/A | 11 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 30/12/2022 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 11,610,177 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 03/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 12,000,948 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 04/01/2023 | 3201.00 | N/A | 2,910 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 04/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 789,890 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 05/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 2,876,552 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 10/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 2,518,334 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 11/01/2023 | 1200.03 | N/A | 1,086 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 11/01/2023 | 2200.00 | N/A | 2,000 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 11/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 16,650,353 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 12/01/2023 | 1200.10 | N/A | 1,091 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 12/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 4,442,440 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 13/01/2023 | 1701.00 | N/A | 1,575 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 17/01/2023 | 1701.00 | N/A | 1,575 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 17/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 13,349,836 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 18/01/2023 | 1556.28 | N/A | 1,441 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 18/01/2023 | 1200.54 | N/A | 1,122 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ FinancialGroup, Inc. | 19/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 11,610,178 OrdinaryShares |
| Mitsubishi UFJ FinancialGroup, Inc. | 23/01/2023 | 53.04 | N/A | 48 Ordinary Shares |
| Mitsubishi UFJ FinancialGroup, Inc. | 24/01/2023 | N/A | Collateral Received by an entitycontrolled by Morgan Stanley -see Annexure C | 17,777,742 OrdinaryShares |
AnnexureC
Annexure C
This is annexure C of 3 pages referred to in Form 603, Notice of initial substantial holder dated 27 January 2023
Authorised signatory Dated 27 January 2023
The below schedules are based on the relevant standard agreements. The entity filing the report will, if requested by the company or responsible entity to whom the prescribed form must be given or ASIC, give a copy of the agreement to the company, responsible entity or ASIC.
| Schedule | |
|---|---|
| Type ofAgreement | International Prime Brokerage Agreement |
| Parties toagreement | Morgan Stanley & Co. International plc for itself and as agent and trustee forand on behalf of the other Morgan Stanley Companies and EQUITYTRUSTEES LIMITED AS TRUSTEE FOR L1 CAPITAL LONG SHORT FUND |
| Transfer Date | 20230124; |
| Holder ofVoting Rights | Prime broker has the right to vote securities rehypothecated from the Client. |
| Are there anyrestrictions onvoting rights? | Yes/No |
| If yes, detail Not applicable | |
| ScheduledReturn Date (if | Open |
| any) | |
| Does theborrower havethe right toreturn early? | Yes/No |
| any time. | If yes, detail Prime broker may return shares which were rehypothecated from the client at |
| Does thelender have theright to recallearly? | 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 thesecurities bereturned onsettlement? | 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 | International Prime Brokerage Agreement | |
| Agreement | ||
| Parties toagreement | Morgan Stanley & Co. International plc for itself and as agent and trustee for | |
| and on behalf of the other Morgan Stanley Companies and L1 CAPITAL | ||
| LONG SHORT (MASTER) FUND | ||
| Transfer Date | 20230124; | |
| Holder of | Prime broker has the right to vote securities rehypothecated from the Client. | |
| Voting Rights | ||
| Are there any | ||
| restrictions on | Yes/No | |
| voting rights? | ||
| If yes, detail Not applicable | ||
| Scheduled | ||
| Return Date (if | Open | |
| any) | ||
| Does the | ||
| borrower have | Yes/No | |
| the right to | ||
| return early? | ||
| If yes, detail Prime broker may return shares which were rehypothecated from the client at | ||
| any time. | ||
| Does the | ||
| lender have the | Yes/No | |
| right to recall | ||
| early? | ||
| 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 | Yes/No | |
| returned on | ||
| settlement? |
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 | International Prime Brokerage Agreement | |
| Agreement | ||
| Parties to | Morgan Stanley & Co. International plc for itself and as agent and trustee for | |
| agreement | and on behalf of the other Morgan Stanley Companies and INTEGRATED | |
| CORE STRATEGIES (ASIA) PTE LTD. | ||
| Transfer Date | 20230124; | |
| Holder of | ||
| Voting Rights | Prime broker has the right to vote securities rehypothecated from the Client. | |
| Are there any | ||
| restrictions on | Yes/No | |
| voting rights? | ||
| If yes, detail Not applicable | ||
| Scheduled | ||
| Return Date (if | Open | |
| any) | ||
| Does the | ||
| borrower have | ||
| the right to | Yes/No | |
| return early? | ||
| 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 | Yes/No | |
| early? | ||
| 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 | Yes/No |
settlement? 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 ofAgreement | International Prime Brokerage Agreement | |
| Parties toagreement | Morgan Stanley & Co. International plc for itself and as agent and trustee forand on behalf of the other Morgan Stanley Companies and L1 LONG SHORTFUND LIMITED | |
| Transfer Date | 20230124; | |
| Holder ofVoting Rights | Prime broker has the right to vote securities rehypothecated from the Client. | |
| Are there anyrestrictions onvoting rights? | Yes/No | |
| If yes, detail Not applicable | ||
| ScheduledReturn Date (ifany) | Open | |
| Does theborrower havethe right toreturn early? | Yes/No | |
| If yes, detail Prime broker may return shares which were rehypothecated from the client atany time. | ||
| Does thelender have theright to recallearly? | Yes/No | |
| If yes, detail Prime broker will be required to return to the client shares rehypothecated fromthe client's account upon a sale of those shares by the client. | ||
| Will thesecurities bereturned onsettlement? | 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 | International Prime Brokerage Agreement | |
| Agreement | ||
| Parties toagreement | Morgan Stanley & Co. International plc for itself and as agent and trustee forand on behalf of the other Morgan Stanley Companies and EQUITYTRUSTEES LIMITED AS RESPONSIBLE ENTITY FOR REGALINVESTMENT FUND | |
| Transfer Date | 20230124; | |
| Holder of | Prime broker has the right to vote securities rehypothecated from the Client. | |
| Voting Rights | ||
| Are there any | ||
| restrictions on | Yes/No | |
| voting rights? |
| If yes, detail Not applicable | ||
|---|---|---|
| Scheduled | ||
| Return Date (if | Open | |
| any) | ||
| Does the | ||
| borrower have | ||
| the right to | Yes/No | |
| return early? | ||
| 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 | Yes/No | |
| early? | ||
| 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 | Yes/No | |
| returned on | ||
| settlement? | ||
| 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.