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SANDFIRE RESOURCES LIMITED — Major Shareholding Notification 2018
Apr 25, 2018
65773_rns_2018-04-25_217aa592-d165-434a-a30d-16f392c9d400.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 | SANDFIRE RESOURCES NL | |||
|---|---|---|---|---|
| ACN/ARSN | 105 154 185 | |||
| 1. Details of substantial holder (1) | ||||
| Name | Mitsubishi UFJ Financial Group, Inc. | |||
| ACN/ARSN (if applicable) | Not Applicable | |||
| The holder ceased to be a | ||||
| substantial holder on | 20 April, 2018 | |||
| The previous notice was given to the company on The previous notice was dated The holder became aware on |
24 April, 2018 | |||
| 24 April, 2018 | ||||
| 24 April, 2018 | ||||
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) 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 of change |
Person whose relevant Interest changed |
Nature of change (4) | Consideration given In relation to change (5) |
Class (6) and number of Securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| 20/4/2018 | Purchase of securities by an entity | ||||
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 395.04 | 47 Ordinary Shares | 47 | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| controlled by Morgan Stanley | 9.229.00 | 1,100 Ordinary Shares | 1,100 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | controlled by Morgan Stanley | 1,243,62 | 147 Ordinary Shares | 147 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | ||||
| 20/4/2018 | Milsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 8,366.40 | 996 Ordinary Shares | 996 |
| Purchase of securities by an entity controlled by Morgan Stanley |
|||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 1,099.75 | 131 Ordinary Shares | 131 |
| controlled by Morgan Stanley | 1,141.72 | 136 Ordinary Shares | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group. Inc. | Purchase of securities by an entity | 136 | ||
| controlled by Morgan Stanley | 3,038.99 | 362 Ordinary Shares | 362 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | controlled by Morgan Stanley | 2,526.00 | 300 Ordinary Shares | 300 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | ||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
3,561.60 | 424 Ordinary Shares | 424 |
| controlled by Morgan Stanley | |||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 2,553.60 | 304 Ordinary Shares | 304 |
| controlled by Morgan Stanley | 8,845.20 | 1,053 Ordinary Shares | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 1.053 | ||
| controlled by Morgan Stanley | 21 058.90 | 2,510 Ordinary Shares | 2,510 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | controlled by Morgan Stanley | 5,132.40 | 611 Ordinary Shares | 611 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 1,373.76 | 162 Ordinary Shares | 162 |
| controlled by Morgan Stanley | 1,195.64 | ||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 142 Ordinary Shares | 142 | |
| controlled by Morgan Stanley | 5,772.96 | 684 Ordinary Shares | 684 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | controlled by Morgan Stanley | 3,171.42 | 378 Ordinary Shares | 378 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | ||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 589.05 | 70 Ordinary Shares | 70 |
| Purchase of securities by an entity | |||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
2,898.00 | 345 Ordinary Shares | 345 |
| controlled by Morgan Stanley | 2,298.86 | ||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 274 Ordinary Shares | 274 | |
| controlled by Morgan Stanley | 7,433.54 | 886 Ordinary Shares | 886 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | controlled by Morgan Stanley | 12 987.65 | 1,537 Ordinary Shares | 1,537 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 2,743.00 | 325 Ordinary Shares | 325 |
| controlled by Morgan Stanley | |||||
|---|---|---|---|---|---|
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
8,059.20 | 960 Ordinary Shares | 960 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
6,963.84 | 832 Ordinary Shares | 832 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
4 373.20 | 520 Ordinary Shares | 520 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
12,821.40 | 1,530 Ordinary Shares 12,678 Ordinary |
1,530 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
106,495.20 | Shares | 12.678 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
7,552.74 | 897 Ordinary Shares | 897 |
| 20/4/2018 | controlled by Morgan Stanley | 5,256.25 | 625 Ordinary Shares | 625 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
3,197.70 | 380 Ordinary Shares | 380 | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
261.33 | 31 Ordinary Shares | 31 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
8736.73 | 1,037 Ordinary Shares | 1,037 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
10,022.56 | 1,184 Ordinary Shares | 1,184 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
6,464.15 | 770 Ordinary Shares | 770 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1.004.36 | 119 Ordinary Shares | 119 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
936.10 | 110 Ordinary Shares | 110 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
2.081.16 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 246 Ordinary Shares | 246 | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1,426.30 | 170 Ordinary Shares | 170 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1.827.14 | 217 Ordinary Shares | 217 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
22,411.62 | 2,646 Ordinary Shares | 2.646 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1,850.20 | 220 Ordinary Shares | 220 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1 294.38 | 153 Ordinary Shares | 153 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
5 001.48 | 594 Ordinary Shares | 594 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
8.692.04 | 1,036 Ordinary Shares | 1,036 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
2.576.52 | 306 Ordinary Shares | 306 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
2.955.42 | 351 Ordinary Shares | 351 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
763,49 | 91 Ordinary Shares | 91 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
4 265.58 | 506 Ordinary Shares | 506 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 97,502.13 | 11,649 Ordinary Shares |
11,649 |
| 20/4/2018 | Purchase of securities by an entity controlled by Morgan Stanley |
473.20 | 56 Ordinary Shares | 56 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1.108.80 | 132 Ordinary Shares | 132 | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
159.03 | 19 Ordinary Shares | 19 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
571.54 | 68 Ordinary Shares | 68 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
27,703.78 | 3,302 Ordinary Shares | 3 3 0 2 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
11,314.80 | 1,347 Ordinary Shares | 1 3 4 7 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
8,784.33 | 1,047 Ordinary Shares | 1.047 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
2,276.40 | 271 Ordinary Shares | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
271 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 11,768.40 | 1,401 Ordinary Shares | 1.401 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
569.16 | 68 Ordinary Shares | 68 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1,276.04 | 152 Ordinary Shares | 152 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
5488.90 | 655 Ordinary Shares | 655 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
19,610.28 | 2,318 Ordinary Shares | 2,318 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
3,439.69 | 409 Ordinary Shares | 409 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
15,268.36 | 1,822 Ordinary Shares | 1,822 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
2,419.20 | 288 Ordinary Shares | 288 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1,225.67 | 146 Ordinary Shares | 146 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
2,419.20 | 288 Ordinary Shares | 288 |
| 5,829.60 | 694 Ordinary Shares | 694 |
$\alpha$
| controlled by Morgan Stanley | |||||
|---|---|---|---|---|---|
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
|||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 24,511.20 | 2,918 Ordinary Shares | 2.918 |
| controlled by Morgan Stanley | 32,299.83 | 3,859 Ordinary Shares | 3.859 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
4 347.97 | 517 Ordinary Shares | 517 |
| controlled by Morgan Stanley | 6,696.00 | 800 Ordinary Shares | BOD | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
8,107.24 | 964 Ordinary Shares | 964 |
| controlled by Morgan Stanley | 5,208.00 | 620 Ordinary Shares | 620 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
30,249.18 | 3,614 Ordinary Shares | 3.614 |
| controlled by Morgan Stanley | 2,044.85 | 243 Ordinary Shares | 243 | ||
| 20/4/2018 | Milsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1,903.40 | 227 Ordinary Shares | 227 |
| controlled by Morgan Stanley | 7,567.78 | 902 Ordinary Shares | 902 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1,218.00 | 145 Ordinary Shares | 145 |
| controlled by Morgan Stanley | 40,115.70 | 4,770 Ordinary Shares | 4.770 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
753.83 | 89 Ordinary Shares | 89 |
| controlled by Morgan Stanley | 11,742.99 | 1,393 Ordinary Shares | 1.393 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
2,810.65 | 335 Ordinary Shares | 335 |
| controlled by Morgan Stanley | 1,139.00 | 134 Ordinary Shares | 134 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an enlity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
1,799.55 | 215 Ordinary Shares | 215 |
| controlled by Morgan Stanley | 1,042.22 | 124 Ordinary Shares | 124 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1,894.50 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | 225 Ordinary Shares | 225 | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 5,233.65 | 615 Ordinary Shares | 615 |
| Purchase of securities by an entity controlled by Morgan Stanley |
1,900.66 | 226 Ordinary Shares | 226 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an enlity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an enlity |
33.72 | 4 Ordinary Shares | 4 |
| controlled by Morgan Stanley | 51,681.96 | 6,138 Ordinary Shares | 6 1 3 8 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
51,644.36 | 6,119 Ordinary Shares | 6.119 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
5,802.42 | 692 Ordinary Shares | 692 |
| controlled by Morgan Stanley | 997.10 | 118 Ordinary Shares | 116 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Purchase of securities by an entity |
6,199.20 | 738 Ordinary Shares | 738 |
| 20/4/2018 | controlled by Morgan Stanley | 1,291.29 | 154 Ordinary Shares | 154 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
682.02 | 81 Ordinary Shares | 81 | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
4,247.45 | -509 Ordinary Shares | -509 |
| controlled by Morgan Stanley | 316,97 | -38 Ordinary Shares | $-38$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4 071.48 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | -488 Ordinary Shares | $-488$ | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 1 444 55 | -173 Ordinary Shares | -173 |
| Sale of securities by an entity controlled by Morgan Stanley |
15.093.96 | -1,812 Ordinary Shares | $-1,812$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | |||
| 20/4/2018 | Milsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an enlity |
90.86 | -11 Ordinary Shares | $-11$ |
| controlled by Morgan Stanley | 4.458.90 | -534 Ordinary Shares | $-534$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2,585.38 | -313 Ordinary Shares | |
| 20/4/2018 | Milsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | -313 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
492.95 | -59 Ordinary Shares | -59 |
| controlled by Morgan Stanley | 250.50 | -30 Ordinary Shares | $-30$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
83.25 | -10 Ordinary Shares | $-10$ |
| controlled by Morgan Stanley | 391.51 | -47 Ordinary Shares | -47 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4,750.20 | -580 Ordinary Shares | -580 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
15,812.56 | -1,919 Ordinary Shares | $-1.919$ |
| controlled by Morgan Stanley | 7,368.64 | -883 Ordinary Shares | -683 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
|||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | 1,664.00 1,290.86 |
-200 Ordinary Shares -158 Ordinary Shares |
-200 $-158$ |
$\mathcal{L}_{\mathcal{L}}$
| 20/4/2018 20/4/2018 20/4/2018 |
Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
|||
|---|---|---|---|---|---|
| 133.76 | -16 Ordinary Shares | -16 | |||
| Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1,292.44 | -158 Ordinary Shares | $-158$ | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
||||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | 4 179.93 | -503 Ordinary Shares | $-503$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
187.91 | -23 Ordinary Shares | -23 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
2,487.00 | -300 Ordinary Shares | $-300$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
221.67 | -27 Ordinary Shares | -27 |
| 20/4/2018 | Milsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
11,611.70 | -1,399 Ordinary Shares | $-1.399$ |
| 20/4/2018 | controlled by Morgan Stanley | 8.20 | -1 Ordinary Shares | $-1$ | |
| Milsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4,024.70 | -482 Ordinary Shares | $-402$ | |
| 20/4/2018 | Milsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
227.92 | -28 Ordinary Shares | -28 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1822.62 | -222 Ordinary Shares | $-222$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
|||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | 5,395.60 | -658 Ordinary Shares | -658 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
286.30 | -35 Ordinary Shares | -35 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
6,366.10 | -767 Ordinary Shares | -767 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
1722.24 | -208 Ordinary Shares | $-208$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
5 001.92 | -616 Ordinary Shares | $-616$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 116.48 | -14 Ordinary Shares | $-14$ |
| Sale of securities by an entity controlled by Morgan Stanley |
1,790.25 | -217 Ordinary Shares | $-217$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
873.60 | -105 Ordinary Shares | $-105$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3,953.16 | -474 Ordinary Shares | $-474$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1,572.48 | -189 Ordinary Shares | $-189$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
97.80 | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
-12 Ordinary Shares | $-12$ | |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | 138.21 | -17 Ordinary Shares | -17 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
4,592.50 | -550 Ordinary Shares | -550 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
19,614.14 | -2,366 Ordinary Shares | $-2.366$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
141.87 | -17 Ordinary Shares | $-17$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
41.65 - | -5 Ordinary Shares | $-5$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an enlity |
431.08 | -52 Ordinary Shares | $-52$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
1,656.00 | -200 Ordinary Shares | $-200$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
233.94 | -28 Ordinary Shares | -28 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
1,549.01 | -191 Ordinary Shares | $-191$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
1,660.00 | -200 Ordinary Shares | -200 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 5,337.60 | -640 Ordinary Shares | $-640$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4,350.02 | -526 Ordinary Shares | $-526$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
367.62 | -44 Ordinary Shares | -44 |
| Sale of securities by an entity controlled by Morgan Stanley |
1,155.00 | -140 Ordinary Shares | $-140$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
99.96 | -12 Ordinary Shares | $-12$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4,495.26 | -539 Ordinary Shares | -539 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
976.37 | -117 Ordinary Shares | $-117$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | |||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley |
215.54 | -26 Ordinary Shares | -26 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | 374.85 | -45 Ordinary Shares | -45 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
1,286.67 | -154 Ordinary Shares | $-154$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
467.04 | -56 Ordinary Shares | -56 |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
105.56 | -13 Ordinary Shares | $-13$ |
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
6,583,76 1,019.92 |
-799 Ordinary Shares -122 Ordinary Shares |
$-799$ $-122$ |
| Milsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Milsubishi UFJ Financial Group, Inc. Milsubishi UFJ Financial Group, Inc. Milsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. |
controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entily controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an enlity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley Sale of securities by an entity controlled by Morgan Stanley |
21,673.60 330.80 1,287.40 8,090.02 2,520.30 2,688.70 1,934.88 4,567.68 3,341.25 2,802.16 1,664.00 13,852.80 2,077.50 1,099.56 1,191.90 7,797.90 17,843.95 162.40 803.16 876.75 295.20 19,424.88 125.25 |
-2,605 Ordinary Shares -40 Ordinary Shares -157 Ordinary Shares -989 Ordinary Shares -310 Ordinary Shares -322 Ordinary Shares -232 Ordinary Shares -549 Ordinary Shares -405 Ordinary Shares -337 Ordinary Shares -200 Ordinary Shares -1,665 Ordinary Shares -250 Ordinary Shares -132 Ordinary Shares -145 Ordinary Shares -935 Ordinary Shares -2,137 Ordinary Shares -20 Ordinary Shares -97 Ordinary Shares -105 Ordinary Shares -36 Ordinary Shares -2,346 Ordinary Shares -15 Ordinary Shares |
$-2.605$ $-40$ $-157$ -989 $-310$ $-322$ $-232$ $-549$ $-405$ $-337$ $-200$ $-1,665$ $-250$ $-132$ $-145$ -935 $-2,137$ -20 -97 $-105$ -36 $-2,346$ $-15$ |
|---|---|---|---|---|
| Sale of securities by an entity | 1,642.00 | -200 Ordinary Shares | -200 | |
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
108.03 | -13 Ordinary Shares | -13 |
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
91.41 | -11 Ordinary Shares | -11 |
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley Sale of securities by an entity |
1,442.88 | -175 Ordinary Shares | -175 |
| Milsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley | 7,080.80 | -848 Ordinary Shares | -848 |
| controlled by Morgan Stanley Sale of securities by an entity |
4,057.39 | -493 Ordinary Shares | -493 | |
| controlled by Morgan Stanley | 283.73 | -34 Ordinary Shares | -34 | |
| controlled by Morgan Stanley | 133.04 | -16 Ordinary Shares | $-16$ | |
| controlled by Morgan Stanley | 292.43 | -35 Ordinary Shares | -35 | |
| controlled by Morgan Stanley | 1,524.39 | -183 Ordinary Shares | $-183$ | |
| controlled by Morgan Stanley | 372.60 | -45 Ordinary Shares | -45 | |
| controlled by Morgan Stanley | 1,909.00 | -230 Ordinary Shares | -230 | |
| controlled by Morgan Stanley | 98.16 | -12 Ordinary Shares | $-12$ | |
| controlled by Morgan Stanley | 109,719.00 | Shares | $-13,140$ | |
| controlled by Morgan Stanley | 2,673.60 | -320 Ordinary Shares | -320 | |
| controlled by Morgan Stanley | 5,243.80 | -628 Ordinary Shares | $-628$ | |
| controlled by Morgan Stanley | 1,291.68 | -156 Ordinary Shares | $-156$ | |
| controlled by Morgan Stanley | 4,362.75 | -525 Ordinary Shares | $-525$ | |
| controlled by Morgan Stanley | 192.28 | -23 Ordinary Shares | $-23$ | |
| controlled by Morgan Stanley | 50,940.72 | -6,108 Ordinary Shares | -6,108 | |
| controlled by Morgan Stanley | 8,782.74 | -1,062 Ordinary Shares | $-1,002$ | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1,485.70 | -179 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | 4,439.89 | -533 Ordinary Shares | -533 |
| Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. |
Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entily Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity Sale of securities by an entity |
-13,140 Ordinary -179 Ordinary Shares |
| controlled by Morgan Stanley | |||||
|---|---|---|---|---|---|
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity | |||
| controlled by Morgan Stanley | 45.659.24 | -5,500 Ordinary Shares | $-5.500$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Borrow Returned by an enlity | |||
| controlled by Morgan Stanley - see | -2.248,700 Ordinary | ||||
| Annexure A | N'A | Shares | $-2,248,700$ | ||
| 20/4/2018 | Mitsubishi UFJ Financial Group, Inc. | Borrow Returned by an entity | |||
| controlled by Morgan Stanley - see | -397,220 Ordinary | ||||
| Annexure A | N/A | Shares | -397.220 |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) 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 __ |
|---|---|
| Not applicable | Not applicable $-$ |
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 |
Signature
$\hat{\boldsymbol{\theta}}$
| print name Tetsuya Shigemoto | capacity | Authorised signatory | |
|---|---|---|---|
| sign here | حالا | date | 25 April 2018 |
ANNEXURE "A"
This is Annexure "A" of 4 pages referred to in the Form 605 (Notice of ceasing to be a substantial holder), signed by me and dated 25 April 2018.
letewstal anostr
Signed: Tetsuya Shigemoto
| Schedule | ||||
|---|---|---|---|---|
| Type of Agreement | Overseas Securities Lender's Agreement | |||
| Parties to agreement | Morgan Stanley & Co. International plc and RBC INVESTOR SERVICES TRUST |
|||
| Transfer Date | 20180417; 20180420; | |||
| Holder of Voting Rights | Each Party undertakes that where it holds securities of the same | |||
| description as any securities borrowed by it or transferred to it by | ||||
| way of collateral at a time when a right to vote arises in respect of | ||||
| such securities, it will use its best endeavours to arrange for the | ||||
| voting rights attached to such securities to be exercised in | ||||
| accordance with the instructions of the Lender or Borrower (as the | ||||
| case may be). | ||||
| Are there any restrictions on voting rights? | YesANe | |||
| If yes, detail As stated above. | ||||
| Scheduled Return Date (if any) | Open | |||
| Yes/Ne | ||||
| Does the borrower have the right to return early? | ||||
| If yes, detail The Borrower is entitled at any time to terminate a particular loan of Securities and to redeliver all and any Equivalent Securities due and outstanding to the Lender in accordance with the Lender's instructions. |
||||
| Does the lender have the right to recall early? | YesANe | |||
| If yes, detail The Lender may call for the redelivery of all or any Equivalent Securities at any time by giving notice on any Business Day | ||||
| of not less than the standard settlement time for such Equivalent Securities on the exchange or in the clearing organisation through which | ||||
| the relevant borrowed Securities were originally delivered. The Borrower shall redeliver such Equivalent Securities not later than the expiry | ||||
| of such notice in accordance with the Lender's instructions. | ||||
| Will the securities be returned on settlement? Yes/Ne |
||||
| If yes, detail any exceptions If an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations shall be accelerated so as to require performance thereof at the time such Event of Default occurs. In such event the Relevant Value of the Securities to be delivered by each Party shall be established in accordance with the Agreement and on the basis of the Relevant |
||||
| Values so established, the sums due from one Party shall be set-off against the sums due from the other and only the balance of the | ||||
| account shall be payable. | ||||
| Schedule | ||||
| Type of Agreement | 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 TOTUS CAPITAL PTY LTD AS TRUSTEE FOR TOTUS | ||||
| ALPHA FUND | ||||
| Transfer Date | 20170913; 20170929; 20171130; 20171208; 20180209: 20180327; 20180403; |
|||
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights | |||
| will pass to the purchaser of the securities. | ||||
| Are there any restrictions on voting rights? | Yes/No | |||
| If yes, detail Not applicable Scheduled Return Date (if any) |
||||
| Open | ||||
| Does the borrower have the right to return early? | YesAle | |||
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | ||||
| Does the lender have the right to recall early? | Yes/No $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{1}$ $\overline{$ |
If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. Will the securities be returned on settlement? $\sqrt{\text{Yes/No}}$
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 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 EQUITY TRUSTEES LIMITED AS THE RESPONSIBLE | ||
| ENTITY OF WATERMARK GLOBAL LEADERS TRUST | ||
| Transfer Date | 20180312; 20180410; | |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights | |
| will pass to the purchaser of the securities. | ||
| Are there any restrictions on voting rights? | Yes/No | |
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | Yes/Ne | |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | ||
| Does the lender have the right to recall early? | Yes/Ne | |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||
| Will the securities be returned on settlement? | Yes/No | |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be | ||
| determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The |
amounts due from one party shall be set off against the amounts due from the cher 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 EQUITY TRUSTEES LIMITED AS TRUSTEE FOR L1 | ||||
| CAPITAL LONG SHORT FUND | ||||
| Transfer Date | 20180418: | |||
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights | |||
| will pass to the purchaser of the securities. | ||||
| Are there any restrictions on voting rights? | Yes/No | |||
| If yes, detail Not applicable | ||||
| Scheduled Return Date (if any) | Open | |||
| Does the borrower have the right to return early? | Yes/No | |||
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | ||||
| Does the lender have the right to recall early? | YesANo | |||
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||||
| Will the securities be returned on settlement? | Yes/No | |||
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be | ||||
| determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The | ||||
| amounts due from one party shall be set off against the amounts due from the other party and only the balance of the account shall be |
$\hat{\boldsymbol{\beta}}$
$\bar{z}$
payable.
$\mathcal{A}^{\mathcal{A}}$
$\bar{\tau}_i$
| 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 WATERMARK GLOBAL LEADERS FUND LIMITED | |||
| Transfer Date | 20180312; 20180410; | ||
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights | ||
| will pass to the purchaser of the securities. | |||
| Are there any restrictions on voting rights? | Yes/ No | ||
| If yes, detail Not applicable | |||
| Scheduled Return Date (if any) | Open | ||
| Does the borrower have the right to return early? | Yes/Ne | ||
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |||
| Does the lender have the right to recall early? | Yes/No | ||
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |||
| Will the securities be returned on settlement? | Yes/Ne | ||
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be | |||
| determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The | |||
| amounts due from one party shall be set off against the amounts due from the other party and only the balance of the account shall be | |||
| payable. |
| Schedule | |
|---|---|
| Type of Agreement | Master Securities Loan Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and THE BANK OF NEW YORK MELLON |
| Transfer Date | 20180419; 20180420; |
| 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 Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the noncash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to the contrary, be the third Business Day following such notice.
Does the lender have the right to recall early?
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the noncash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, unless Borrower and Lender agree to the contrary, be the third Business Day following such notice.
Will the securities be returned on settlement?
$YesAb$
$\sqrt{\text{Yes/No}}$
If yes, detail any exceptions Upon the occurrence of a Default entitling the Lender to terminate all Loans, the Lender has the right to purchase a like amount of Loaned Securities, to sell any Collateral and to apply and set off the Collateral and any proceeds thereof against the payment of the purchase price for such Replacement Securities. In the event the Lender exercises such rights, the Borrower's obligation to return a like amount of the Loaned Securities shall terminate.
| Schedule | |||
|---|---|---|---|
| Type of Agreement | Customer Prime Broker Account Agreement | ||
| Parties to agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley entities and customer WATERMARK FUNDS MANAGEMENT PTY LIMITED |
||
| Transfer Date | 20180221; 20180222; 20180223; 20180226; 20180410; | ||
| Holder of Voting Rights | Shares are used to settle customer's short sales. Voting rights are held by third party purchaser. |
||
| Are there any restrictions on voting rights? | No. | ||
| If yes, detail Not applicable | |||
| Scheduled Return Date (if any) | Open | ||
| Does the borrower have the right to return early? | Yes | ||
| If yes, detail The borrower may return shares to the lender at any time. | |||
| Does the lender have the right to recall early? | Yes | ||
| If yes, detail The lender may recall shares from the borrower at any time. | |||
| Will the securities be returned on settlement? IE de la constituta de la constitución de la constitución de la constitución de la constitución de la constitu . |
Yes. |
If yes, detail any exceptions In the ordinary course of business, customer will return the securities to the prime broker. Upon a customer Event of Default, Morgan Stanley has the right to set off obligations owed to the customer against obligations of the customer to Morgan Stanley and to foreclose on any collateral for the purpose of arriving at a single closeout amount. In such a default scenario, the shares may not be returned to the prime broker.
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.