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Resolute Mining Limited Major Shareholding Notification 2020
10548_rns_2020-11-08_4137858c-dd36-4b21-8385-278cbe780057.pdf
Major Shareholding Notification
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Form 605
Corporations Act 2001 Section 671B
Notice of ceasing to be a substantial holder
| To: Company Name/Scheme: | Resolute Mining Ltd |
|---|---|
| ACN/ARSN: | 097 088 689 |
| 1. Details of substantial holder | |
| Name:Mitsubishi UFJ Financial Group, Inc. | |
| The holder ceased to be a substantial holder on: | 4 November 2020 |
| The previous notice was given to the company on: | 6 November 2020 |
| The previous notice was dated: | 6 November 2020 |
| The holder became aware on: | 6 November 2020 |
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
| Date ofchange | Person whoserelevant interestchanged | Nature of change | Consideration given inrelation to change | Class andnumber ofsecurities affected | Person's votesaffected |
|---|---|---|---|---|---|
| See annexure A to | |||||
| this notice |
3. Changes in association
The persons who have become associates of, ceased to be associates of, or have changed the nature of their association with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
4. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 2-7-1, Marunouchi, Chiyoda-ku, Tokyo 100-8330, Japan |
5. Signature
Dated 9 November 2020
Authorised Signatory Ryuichiro Sakuma
Annexure A
This is annexure A of 3 pages referred to in Form 605 (Notice of ceasing to be a substantial holder), signed by me and dated 9 November 2020.
Ryuichiro Sakuma
Authorised Signatory Dated 9 November 2020
| Date of change | Person whose relevant interestchanged | Nature of change | Considerationgiven in relationto change | Class and number ofsecurities affected | Person's votesaffected |
|---|---|---|---|---|---|
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 2,377.85 2,991 Ordinary Shares | 2,991 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 255.20 321 Ordinary Shares | 321 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 5,165.12 6,497 Ordinary Shares | 6,497 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 567.53 705 Ordinary Shares | 705 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 5,286.06 6,526 Ordinary Shares | 6,526 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 703.74 888 Ordinary Shares | 888 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 2,869.41 3,598 Ordinary Shares | 3,598 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 9,718.34 12,186 Ordinary Shares | 12,186 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 27,282.02 34,317 Ordinary Shares | 34,317 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 25,226.40 31,533 Ordinary Shares | 31,533 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 45,754.43 57,917 Ordinary Shares | 57,917 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 5,625.45 6,945 Ordinary Shares | 6,945 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 1,831.86 2,297 Ordinary Shares | 2,297 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 240.09 302 Ordinary Shares | 302 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 641.57 807 Ordinary Shares | 807 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 287.10 360 Ordinary Shares | 360 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan Stanley | 5,855.97 7,366 Ordinary Shares | 7,366 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities byan entity controlled byMorgan StanleyPurchase of securities by | 1,638.98 2,036 Ordinary Shares | 2,036 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | an entity controlled byMorgan StanleyPurchase of securities by | 10,656.59 13,238 Ordinary Shares | 13,238 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | an entity controlled byMorgan StanleyPurchase of securities by | 5,387.18 6,713 Ordinary Shares | 6,713 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | an entity controlled byMorgan StanleyPurchase of securities by | 59,503.20 74,379 Ordinary Shares | 74,379 | |
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | an entity controlled byMorgan Stanley | 1,515.20 1,894 Ordinary Shares | 1,894 |
| Wednesday, 4 November 2020 | Purchase of securities byan entity controlled by | |||
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 1,697.60 2,122 Ordinary Shares | 2,122 | |
| Wednesday, 4 November 2020 | Purchase of securities byan entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 2,753.60 3,442 Ordinary Shares | 3,442 | |
| Wednesday, 4 November 2020 | Purchase of securities byan entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 712.58 902 Ordinary Shares | 902 | |
| Purchase of securities by | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | an entity controlled byMorgan Stanley | 9,113.88 11,464 Ordinary Shares | 11,464 |
| Purchase of securities by | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | an entity controlled byMorgan Stanley | 13,354.41 16,798 Ordinary Shares | 16,798 |
| Purchase of securities by | ||||
| Wednesday, 4 November 2020 | an entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan StanleyPurchase of securities by | 46,868.43 58,954 Ordinary Shares | 58,954 | |
| Wednesday, 4 November 2020 | an entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan StanleyPurchase of securities by | 812.93 1,013 Ordinary Shares | 1,013 | |
| Wednesday, 4 November 2020 | an entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 66,431.00 83,561 Ordinary Shares | 83,561 | |
| Wednesday, 4 November 2020 | Purchase of securities byan entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 8,111.72 10,268 Ordinary Shares | 10,268 | |
| Purchase of securities by | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | an entity controlled byMorgan Stanley | 4,593.33 5,706 Ordinary Shares | 5,706 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | entity controlled byMorgan Stanley | 2,079.47 2,649 Ordinary Shares | 2,649 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan StanleySale of securities by an | 13,936.39 17,641 Ordinary Shares | 17,641 | |
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 2,905.29 3,701 Ordinary Shares | 3,701 | |
| Wednesday, 4 November 2020 | Sale of securities by anentity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 6,838.40 8,548 Ordinary Shares | 8,548 | |
| Wednesday, 4 November 2020 | Sale of securities by anentity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 1,408.05 1,788 Ordinary Shares | 1,788 | |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | entity controlled byMorgan Stanley | 2,500.28 3,145 Ordinary Shares | 3,145 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan StanleySale of securities by an | 2,262.57 2,846 Ordinary Shares | 2,846 | |
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan StanleySale of securities by an | 6,862.28 8,714 Ordinary Shares | 8,714 | |
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 9,594.27 12,222 Ordinary Shares | 12,222 | |
| Wednesday, 4 November 2020 | Sale of securities by anentity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 40.55 51 Ordinary Shares | 51 | |
| Sale of securities by anentity controlled by | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 0.78 1 Ordinary Shares | 1 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | entity controlled byMorgan Stanley | 6,023.16 7,722 Ordinary Shares | 7,722 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | entity controlled byMorgan Stanley | 3,975.00 5,000 Ordinary Shares | 5,000 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan StanleySale of securities by an | 977.34 1,249 Ordinary Shares | 1,249 | |
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan StanleySale of securities by an | 1,755.26 2,236 Ordinary Shares | 2,236 | |
| Wednesday, 4 November 2020 | entity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 8,833.78 11,182 Ordinary Shares | 11,182 | |
| Wednesday, 4 November 2020 | Sale of securities by anentity controlled by | |||
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 1,017.52 1,288 Ordinary Shares | 1,288 | |
| Sale of securities by anentity controlled by | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley | 7,209.54 9,243 Ordinary Shares | 9,243 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | entity controlled byMorgan Stanley | 350,419.91 444,998 Ordinary Shares | 444,998 |
| Sale of securities by an | ||||
| Wednesday, 4 November 2020 | Mitsubishi UFJ Financial Group, Inc. | entity controlled byMorgan Stanley | 1,729.92 2,176 Ordinary Shares | 2,176 |
| Collateral Returned by an | |||||
|---|---|---|---|---|---|
| entity controlled by | |||||
| Wednesday, 4 November 2020 | Morgan Stanley - see | 26,384,302 Ordinary | |||
| Mitsubishi UFJ Financial Group, Inc. | Annexure B | N/A | Shares | 26,384,302 |
Annexure B
This is annexure B of 2 pages referred to in Form 605 (Notice of ceasing to be a substantial holder), signed by me and dated 9 November 2020.
Ryuichiro Sakuma
Authorised Signatory Dated 9 November 2020
The below schedules are based on the relevant standard agreements. The entity filing the report will, if requested by the company or responsible entity to whom the prescribed form must be given or ASIC, give a copy of the agreement to the company, responsible entity or ASIC.
| Schedule | ||
|---|---|---|
| Type of Agreement | International Prime Brokerage Agreement | |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and trustee for and onbehalf of the other Morgan Stanley Companies and CERES CAPITAL PTY LTD | |
| Transfer Date | 20201104; | |
| 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 |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and trustee for and onbehalf of the other Morgan Stanley Companies and L1 LONG SHORT FUND LIMITED |
| Transfer Date | 20201104; |
| 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 | |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and trustee for and onbehalf of the other Morgan Stanley Companies and AUSBIL INVESTMENTMANAGEMENT LIMITED AS RESPONSIBLE ENTITY FOR AUSBIL GLOBAL RESOURCESFUND | |
| Transfer Date | 20201104; | |
| 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 | |
| due from the other party and only the balance of the account shall be payable. | 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 theamounts 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 | |
| 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 onbehalf of the other Morgan Stanley Companies and L1 CAPITAL LONG SHORT(MASTER) FUND | |
|---|---|---|
| Transfer Date | 20201103; | |
| 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 |
| Parties to agreement | Morgan Stanley & Co. International plc and COWEN INTERNATIONAL LIMITED |
| Transfer Date | 20201028; |
| 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 |
| due from the other party and only the balance of the account shall be payable. | 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 theamounts 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 |
| 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 onbehalf of the other Morgan Stanley Companies and EQUITY TRUSTEES LIMITED ASTRUSTEE FOR L1 CAPITAL LONG SHORT FUND |
| Transfer Date | 20201104; |
| 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. |