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SANDFIRE RESOURCES LIMITED — Major Shareholding Notification 2022
Jul 13, 2022
65773_rns_2022-07-13_66322e26-d58f-472d-a1b7-68bfe34e4722.pdf
Major Shareholding Notification
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Form604
Form 604
Corporations Act 2001 Section 671B Notice of change of interests of substantial holder
| To: Company Name/Scheme: | Sandfire Resources Limited |
|---|---|
| ACN/ARSN | 105 154 185 |
| 1. Details of substantial holder | Mitsubishi UFJ Financial Group, Inc. |
| Name | |
| There was a change in the interests of the | 11 July 2022 |
| substantial holder on | |
| The previous notice was given to the company on | 13 July 2022 |
| The previous notice was dated | 13 July 2022 |
| The holder became aware on | 13 July 2022 |
2. Previous and present 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 when last required, and when now required, to give a substantial holding notice to the company or scheme are as follows:
company or scheme are as follows: |
company or scheme are as follows: |
||||
|---|---|---|---|---|---|
| Class of securities | Previous notice | Present notice | |||
| Person’s votes | Voting power(%) | Person’s votes | Voting power(%) | ||
| FullyPaid ordinaryshares | 28,195,989 | 6.88% | 21,879,726 | 5.34% | |
| 3. Changes in relevant interest 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 of change |
Person whose relevant interest changed |
Nature of change | Consideration given in relation to change |
Class and number of securities affected |
Person's votes affected |
| See annexure A to this notice | |||||
| 4.Present relevant interests Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows: |
|||||
| Holder of relevant interest |
Registered holder of securities |
Person entitled to be registered as holder |
Nature of relevant interest |
Class and number of securities |
Person's votes |
| Mitsubishi UFJ Financial Group, Inc. |
Citibank N A Hong Kong | Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
1,521,201 Fully paid ordinary shares |
1,521,201 |
| Mitsubishi UFJ Financial Group, Inc. |
Citicorp Nominees Pty Limited (Australia) |
Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
1,191,488 Fully paid ordinary shares |
1,191,488 |
| Mitsubishi UFJ Financial Group, Inc. |
HSBC Bank Australia Limited |
Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
151,608 Fully paid ordinary shares |
151,608 |
| Mitsubishi UFJ Financial Group, Inc. |
JPMorgan (UK) | Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
1,680,150 Fully paid ordinary shares |
1,680,150 |
| Mitsubishi UFJ Financial Group, Inc. |
National Custodian Services |
Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
397,476 Fully paid ordinary shares |
397,476 |
| Mitsubishi UFJ Financial Group, Inc. |
State Street Global Advisors (Australia) Limited |
Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
47,002 Fully paid ordinary shares |
47,002 |
| Mitsubishi UFJ Financial Group, Inc. |
Citibank N A Hong Kong | Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
494,818 Fully paid ordinary shares |
494,818 |
Page 1
Form604
| Mitsubishi UFJ Financial Group, Inc. |
Citicorp Nominees Pty Limited (Australia) |
Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
966,699 Fully paid ordinary shares |
966,699 |
|---|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. |
Northern Trust Company | Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
268,889 Fully paid ordinary shares |
268,889 |
| Mitsubishi UFJ Financial Group, Inc. |
State Street Global Advisors (Australia) Limited |
Not applicable | Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited. |
309,488 Fully paid ordinary shares |
309,488 |
| Mitsubishi UFJ Financial Group, Inc. |
HSBC Custody Nominees (Australia) Limited |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
8,029,199 Fully paid ordinary shares |
8,029,199 |
| Mitsubishi UFJ Financial Group, Inc. |
HSBC Custody Nominees (Australia) Limited |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
909,629 Fully paid ordinary shares |
909,629 |
| Mitsubishi UFJ Financial Group, Inc. |
HSBC Custody Nominees (Australia) Limited |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
30,880 Fully paid ordinary shares |
30,880 |
| Mitsubishi UFJ Financial Group, Inc. |
HSBC Custody Nominees (Australia) Limited |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
1,749 Fully paid ordinary shares |
1,749 |
| Mitsubishi UFJ Financial Group, Inc. |
Morgan Stanley Australia Securities (Nominee) Pty Limited |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
3,434,211 Fully paid ordinary shares |
3,434,211 |
| Mitsubishi UFJ Financial Group, Inc. |
Morgan Stanley Australia Securities (Nominee) Pty Limited |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
1,812,913 Fully paid ordinary shares |
1,812,913 |
| Mitsubishi UFJ Financial Group, Inc. |
HSBC Custody Nominees (Australia) Limited |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
1,784 Fully paid ordinary shares |
1,784 |
| Mitsubishi UFJ Financial Group, Inc. |
Morgan Stanley Wealth Management Australia Pty discretionary client account |
Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
64,064 Fully paid ordinary shares |
64,064 |
| Mitsubishi UFJ Financial Group, Inc. |
Unknown | Not applicable | Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley. |
566,478 Fully paid ordinary shares |
566,478 |
5. Changes in association
| 5. Changes in association | 5. 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 |
| Not applicable | |
| 6. 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
Page 2
Form604
Dated 14 July 2022
==> picture [253 x 81] intentionally omitted <==
==> picture [82 x 10] intentionally omitted <==
Authorised signatory
Page 3
AnnexureA
Annexure A
This is annexure A of 6 pages referred to in Form 604, Notice of change of interest of substantial holder dated 14 July 2022
==> picture [253 x 82] intentionally omitted <==
==> picture [89 x 11] intentionally omitted <==
Authorised signatory Dated 14 July 2022
| Date of change | Person whose relevant interest changed |
Nature of change | Consideration given in relation to change |
Class and number of securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
852.8 | 205 Ordinary Shares | 205 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
2112.35 | 509 Ordinary Shares | 509 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
222903.14 | 53,165 Ordinary Shares | 53,165 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
36157.2 | 8,600 Ordinary Shares | 8,600 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
18886.68 | 4,562 Ordinary Shares | 4,562 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1233.53 | 293 Ordinary Shares | 293 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
878.82 | 211 Ordinary Shares | 211 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
178.08 | 42 Ordinary Shares | 42 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
5372.08 | 1,267 Ordinary Shares | 1,267 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
4408.46 | 1,061 Ordinary Shares | 1,061 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
2040.06 | 484 Ordinary Shares | 484 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1488.69 | 357 Ordinary Shares | 357 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
863.2 | 208 Ordinary Shares | 208 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
3039.93 | 729 Ordinary Shares | 729 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
16.74 | 4 Ordinary Shares | 4 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
232.4 | 56 Ordinary Shares | 56 |
Page 4
AnnexureA
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
9681.21 | 2,286 Ordinary Shares | 2,286 |
|---|---|---|---|---|---|
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1435.46 | 343 Ordinary Shares | 343 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
497.4 | 120 Ordinary Shares | 120 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1314.56 | 316 Ordinary Shares | 316 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
814.59 | 189 Ordinary Shares | 189 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
47477.52 | 11,468 Ordinary Shares | 11,468 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
2617.51 | 613 Ordinary Shares | 613 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
22442.94 | 5,421 Ordinary Shares | 5,421 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1215.42 | 282 Ordinary Shares | 282 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
13787.69 | 3,199 Ordinary Shares | 3,199 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1241.46 | 297 Ordinary Shares | 297 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
3757.5 | 900 Ordinary Shares | 900 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1269.48 | 298 Ordinary Shares | 298 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
1519.38 | 367 Ordinary Shares | 367 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Purchase of securities by an entity controlled by Morgan Stanley |
6709.82 | 1,611 Ordinary Shares | 1,611 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
7516.86 | 1,794 Ordinary Shares | 1,794 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
9666.14 | 2,332 Ordinary Shares | 2,332 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
175.14 | 42 Ordinary Shares | 42 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2271.36 | 546 Ordinary Shares | 546 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1835.02 | 439 Ordinary Shares | 439 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2945.28 | 708 Ordinary Shares | 708 |
Page 5
AnnexureA
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2745.27 | 649 Ordinary Shares | 649 |
|---|---|---|---|---|---|
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
41103.69 | 9,857 Ordinary Shares | 9,857 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
18724.16 | 4,501 Ordinary Shares | 4,501 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
100840.73 | 24,067 Ordinary Shares | 24,067 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3176.02 | 758 Ordinary Shares | 758 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
10487.27 | 2,494 Ordinary Shares | 2,494 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1493.88 | 354 Ordinary Shares | 354 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1814.27 | 433 Ordinary Shares | 433 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
463.43 | 111 Ordinary Shares | 111 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2496.98 | 591 Ordinary Shares | 591 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
538.88 | 128 Ordinary Shares | 128 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
5258.24 | 1,264 Ordinary Shares | 1,264 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
6449.72 | 1,532 Ordinary Shares | 1,532 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
6496.03 | 1,543 Ordinary Shares | 1,543 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2693.39 | 639 Ordinary Shares | 639 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1117.88 | 271 Ordinary Shares | 271 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1277.15 | 303 Ordinary Shares | 303 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
168.8 | 40 Ordinary Shares | 40 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1195.58 | 285 Ordinary Shares | 285 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
66435.6 | 15,818 Ordinary Shares | 15,818 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
5121.2 | 1,240 Ordinary Shares | 1,240 |
Page 6
AnnexureA
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
357 | 85 Ordinary Shares | 85 |
|---|---|---|---|---|---|
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
36767.25 | 8,775 Ordinary Shares | 8,775 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4935 | 1,175 Ordinary Shares | 1,175 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
604.65 | 145 Ordinary Shares | 145 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
32319 | 7,695 Ordinary Shares | 7,695 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3871.13 | 925 Ordinary Shares | 925 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
5250.07 | 1,253 Ordinary Shares | 1,253 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2660.72 | 632 Ordinary Shares | 632 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
5312 | 1,280 Ordinary Shares | 1,280 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
11509.93 | 2,747 Ordinary Shares | 2,747 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
207.27 | 49 Ordinary Shares | 49 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3662.06 | 874 Ordinary Shares | 874 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1281 | 305 Ordinary Shares | 305 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1707.58 | 409 Ordinary Shares | 409 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3948.99 | 947 Ordinary Shares | 947 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3519.36 | 846 Ordinary Shares | 846 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
892.25 | 215 Ordinary Shares | 215 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
6319.76 | 1,521 Ordinary Shares | 1,521 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
28286.69 | 6,751 Ordinary Shares | 6,751 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
818.73 | 198 Ordinary Shares | 198 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
6094.08 | 1,472 Ordinary Shares | 1,472 |
Page 7
AnnexureA
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
75.06 | 18 Ordinary Shares | 18 |
|---|---|---|---|---|---|
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
651 | 155 Ordinary Shares | 155 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
22801.98 | 5,442 Ordinary Shares | 5,442 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1663.43 | 397 Ordinary Shares | 397 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1069.67 | 259 Ordinary Shares | 259 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
80294.2 | 19,348 Ordinary Shares | 19,348 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2963.62 | 709 Ordinary Shares | 709 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
5170.76 | 1,252 Ordinary Shares | 1,252 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
422.79 | 102 Ordinary Shares | 102 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4657.8 | 1,109 Ordinary Shares | 1,109 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
794.88 | 192 Ordinary Shares | 192 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
17484.67 | 4,198 Ordinary Shares | 4,198 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
1113 | 265 Ordinary Shares | 265 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
58060.83 | 13,857 Ordinary Shares | 13,857 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
4003.71 | 951 Ordinary Shares | 951 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3031.2 | 720 Ordinary Shares | 720 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
616.67 | 147 Ordinary Shares | 147 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
6645.34 | 1,586 Ordinary Shares | 1,586 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
2372.51 | 571 Ordinary Shares | 571 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
3306.81 | 793 Ordinary Shares | 793 |
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Sale of securities by an entity controlled by Morgan Stanley |
24696.65 | 5,951 Ordinary Shares | 5,951 |
Page 8
AnnexureA
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Collateral Returned by an entity controlled by Morgan Stanley - see Annexure B |
N/A | 6,255,496 Ordinary Shares | 6,255,496 |
|---|---|---|---|---|---|
| 11/07/2022 | Mitsubishi UFJ Financial Group, Inc. | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
N/A | 8,830 Ordinary Shares | 8,830 |
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AnnexureB
Annexure B
This is annexure B of 2 pages referred to in Form 604, Notice of change of interest of substantial holder dated 14 July 2022
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Authorised signatory Dated 14 July 2022
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 | Schedule |
|---|---|
| Type of Agreement | Customer Prime Broker Account Agreement |
| Parties to agreement | Morgan Stanley& Co. LLC on behalf of all Morgan Stanleyentities and customer CITADEL EQUITY FUND LTD. |
| Transfer Date | 20220711; |
| Holder of Voting Rights | Morgan Stanley |
| Are there any restrictions on voting rights? | No |
| Ifyes, detailNot applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes |
| Ifyes, detailMorgan Stanleymayreturn rehypothecated shares at anytime. | |
| Does the lender have the right to recall early? | Yes |
| Ifyes, detailThe customer mayrecall shares from Morgan Stanleyat anytime. | |
| Will the securities be returned on settlement? | Yes |
| If yes, detail any exceptionsIn the ordinary course of business, securities will be returned to customers. 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, including rehypothecated securities, for the purpose of arriving at a single closeout amount. In such a default scenario, Morgan Stanley may do an actual or deemed sale of the rehypothecated securities. |
If yes, detail any exceptions In the ordinary course of business, securities will be returned to customers. 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, including rehypothecated securities, for the purpose of arriving at a single closeout amount. In such a default scenario, Morgan Stanley may do an actual or deemed sale of the rehypothecated securities.
| Schedule | 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 L1 LONG SHORT FUND LIMITED |
| Transfer Date | 20220711; |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the Client. |
| Are there any restrictions on voting rights? | ~~Yes/~~ ~~N~~o |
| Ifyes, detailNot applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes~~/No~~ |
| Ifyes, detailPrime broker mayreturn shares which were rehypothecated from the client at anytime. | |
| Does the lender have the right to recall early? | Yes~~/No~~ |
| Ifyes, detailPrime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares bythe client. | |
| Will the securities be returned on settlement? | Yes~~/No~~ |
| If yes, detail any exceptionsUpon 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. |
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 | 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 | 20220708; |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the Client. |
| Are there any restrictions on voting rights? | ~~Yes/~~ ~~N~~o |
| Ifyes, detailNot applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes~~/No~~ |
| Ifyes, detailPrime broker mayreturn shares which were rehypothecated from the client at anytime. | |
| Does the lender have the right to recall early? | Yes~~/No~~ |
| Ifyes, detailPrime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares bythe client. | |
| Will the securities be returned on settlement? | Yes~~/No~~ |
| If yes, detail any exceptionsUpon 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. |
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 | Schedule |
|---|---|
| Type of Agreement | Customer Prime Broker Account Agreement |
| Parties to agreement | Morgan Stanley& Co. LLC on behalf of all Morgan Stanleyentities and customer OSPRAIE EQUITY MASTER FUND LP |
| Transfer Date | 20220711; |
| Holder of Voting Rights | Morgan Stanley |
| Are there any restrictions on voting rights? | No |
| Ifyes, detailNot applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes |
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AnnexureB
| Ifyes, detailMorgan Stanleymayreturn rehypothecated shares at anytime. | Ifyes, detailMorgan Stanleymayreturn rehypothecated shares at anytime. |
|---|---|
| Does the lender have the right to recall early? | Yes |
| Ifyes, detailThe customer mayrecall shares from Morgan Stanleyat anytime. | |
| Will the securities be returned on settlement? | Yes |
If yes, detail any exceptions In the ordinary course of business, securities will be returned to customers. 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, including rehypothecated securities, for the purpose of arriving at a single closeout amount. In such a default scenario, Morgan Stanley may do an actual or deemed sale of the rehypothecated securities.
| Schedule | 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 AUSBIL INVESTMENT MANAGEMENT LIMITED AS RESPONSIBLE ENTITY FOR AUSBIL GLOBAL RESOURCES FUND |
| Transfer Date | 20220708; |
| Holder of Voting Rights | Prime broker has the right to vote securities rehypothecated from the Client. |
| Are there any restrictions on voting rights? | ~~Yes/~~ ~~N~~o |
| Ifyes, detailNot applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes~~/No~~ |
| Ifyes, detailPrime broker mayreturn shares which were rehypothecated from the client at anytime. | |
| Does the lender have the right to recall early? | Yes~~/No~~ |
| Ifyes, detailPrime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares bythe client. | |
| Will the securities be returned on settlement? | Yes~~/No~~ |
| If yes, detail any exceptionsUpon 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. |
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.
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