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SANDFIRE RESOURCES LIMITED — Major Shareholding Notification 2022
Jul 12, 2022
65773_rns_2022-07-12_55dfa632-bf2e-4a03-81de-0d955d7ba51e.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 | 8 July 2022 |
| substantial holder on | |
| The previous notice was given to the company on | 12 July 2022 |
| The previous notice was dated | 12 July 2022 |
| The holder became aware on | 12 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: |
| Class of securities | Previous notice | Previous notice | Present notice | Present notice |
|---|---|---|---|---|
| Person’s votes | Voting power(%) | Person’s votes | Voting power(%) | |
| FullyPaid ordinaryshares | 23,363,064 | 5.70% | 28,195,989 | 6.88% |
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 |
Page 1
Form604
| 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 |
|---|---|---|---|---|---|
| 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. |
14,126,371 Fully paid ordinary shares |
14,126,371 |
| 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. |
907,872 Fully paid ordinary shares |
907,872 |
| 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. |
22,050 Fully paid ordinary shares |
22,050 |
| 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. |
3,594,292 Fully paid ordinary shares |
3,594,292 |
| 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. |
1,882,510 Fully paid ordinary shares |
1,882,510 |
| 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
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 |
Page 2
Form604
Dated 13 July 2022
Signature
==> picture [65 x 18] intentionally omitted <==
==> picture [32 x 6] 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 13 July 2022
==> picture [66 x 17] intentionally omitted <==
==> picture [39 x 7] intentionally omitted <==
Authorised signatory Dated 13 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 |
|---|---|---|---|---|---|
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by First Sentier Investors Holdings Pty Ltd |
18,330.90 | 4,515 Ordinary Shares | 4,515 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Borrow Returned by an entity controlled by Morgan Stanley - see Annexure B |
N/A | 22,000 Ordinary Shares | 22,000 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
540.63 | 125 Ordinary Shares | 125 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,482.83 | 568 Ordinary Shares | 568 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Collateral Received by an entity controlled by Morgan Stanley - see Annexure B |
N/A | 4,285,359 Ordinary Shares | 4,285,359 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,420.05 | 346 Ordinary Shares | 346 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Collateral Returned by an entity controlled by Morgan Stanley - see Annexure B |
N/A | 8,830 Ordinary Shares | 8,830 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
15,805.58 | 3,893 Ordinary Shares | 3,893 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
12.96 | 3 Ordinary Shares | 3 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
51.72 | 12 Ordinary Shares | 12 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
228.70 | 53 Ordinary Shares | 53 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
271.22 | 63 Ordinary Shares | 63 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
281.45 | 65 Ordinary Shares | 65 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
413.76 | 96 Ordinary Shares | 96 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
439.62 | 102 Ordinary Shares | 102 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
528.87 | 122 Ordinary Shares | 122 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
531.60 | 120 Ordinary Shares | 120 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
563.20 | 128 Ordinary Shares | 128 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
616.33 | 143 Ordinary Shares | 143 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
685.72 | 158 Ordinary Shares | 158 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
714.45 | 165 Ordinary Shares | 165 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
721.27 | 166 Ordinary Shares | 166 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
726.60 | 168 Ordinary Shares | 168 |
Page 4
AnnexureA
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
750.81 | 174 Ordinary Shares | 174 |
|---|---|---|---|---|---|
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
814.04 | 188 Ordinary Shares | 188 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
892.17 | 207 Ordinary Shares | 207 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
991.20 | 224 Ordinary Shares | 224 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,014.09 | 231 Ordinary Shares | 231 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,039.92 | 241 Ordinary Shares | 241 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,143.48 | 265 Ordinary Shares | 265 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,262.94 | 291 Ordinary Shares | 291 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,344.72 | 312 Ordinary Shares | 312 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,366.25 | 313 Ordinary Shares | 313 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,511.64 | 342 Ordinary Shares | 342 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,657.43 | 385 Ordinary Shares | 385 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,677.17 | 386 Ordinary Shares | 386 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,861.02 | 422 Ordinary Shares | 422 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,948.50 | 450 Ordinary Shares | 450 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,073.90 | 465 Ordinary Shares | 465 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,115.60 | 492 Ordinary Shares | 492 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,226.54 | 516 Ordinary Shares | 516 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,352.28 | 542 Ordinary Shares | 542 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,518.56 | 583 Ordinary Shares | 583 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,622.68 | 605 Ordinary Shares | 605 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
2,657.36 | 613 Ordinary Shares | 613 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
3,137.20 | 713 Ordinary Shares | 713 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
3,365.52 | 758 Ordinary Shares | 758 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
3,526.28 | 796 Ordinary Shares | 796 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
3,610.50 | 830 Ordinary Shares | 830 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
3,931.64 | 908 Ordinary Shares | 908 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
4,924.20 | 1,132 Ordinary Shares | 1,132 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
5,217.00 | 1,175 Ordinary Shares | 1,175 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
6,733.15 | 1,555 Ordinary Shares | 1,555 |
Page 5
AnnexureA
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
6,793.20 | 1,530 Ordinary Shares | 1,530 |
|---|---|---|---|---|---|
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
7,083.77 | 1,621 Ordinary Shares | 1,621 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
8,720.62 | 2,014 Ordinary Shares | 2,014 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
9,043.32 | 2,046 Ordinary Shares | 2,046 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
10,173.60 | 2,355 Ordinary Shares | 2,355 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
10,288.53 | 2,333 Ordinary Shares | 2,333 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
12,218.85 | 2,835 Ordinary Shares | 2,835 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
12,771.00 | 2,970 Ordinary Shares | 2,970 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
15,039.20 | 3,418 Ordinary Shares | 3,418 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
16,683.42 | 3,809 Ordinary Shares | 3,809 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
17,108.64 | 3,924 Ordinary Shares | 3,924 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
19,178.38 | 4,339 Ordinary Shares | 4,339 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
19,224.00 | 4,320 Ordinary Shares | 4,320 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
26,312.85 | 5,913 Ordinary Shares | 5,913 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
26,433.81 | 5,967 Ordinary Shares | 5,967 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
26,558.22 | 6,162 Ordinary Shares | 6,162 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
31,665.64 | 7,148 Ordinary Shares | 7,148 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
32,042.61 | 7,299 Ordinary Shares | 7,299 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
36,921.91 | 8,527 Ordinary Shares | 8,527 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
46,980.00 | 10,800 Ordinary Shares | 10,800 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
52,986.96 | 11,988 Ordinary Shares | 11,988 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
53,673.88 | 12,116 Ordinary Shares | 12,116 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
57,058.56 | 13,208 Ordinary Shares | 13,208 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
79,480.44 | 17,982 Ordinary Shares | 17,982 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
81,238.68 | 18,297 Ordinary Shares | 18,297 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
110,830.58 | 25,537 Ordinary Shares | 25,537 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
123,686.45 | 28,565 Ordinary Shares | 28,565 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
148,562.30 | 34,310 Ordinary Shares | 34,310 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Purchase of securities by an entity controlled by Morgan Stanley |
1,735,880.00 | 400,000 Ordinary Shares | 400,000 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
20.35 | 5 Ordinary Shares | 5 |
Page 6
AnnexureA
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
20.38 | 5 Ordinary Shares | 5 |
|---|---|---|---|---|---|
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
76.50 | 18 Ordinary Shares | 18 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
114.48 | 27 Ordinary Shares | 27 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
120.35 | 29 Ordinary Shares | 29 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
210.12 | 51 Ordinary Shares | 51 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
293.23 | 71 Ordinary Shares | 71 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
389.16 | 92 Ordinary Shares | 92 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
448.33 | 107 Ordinary Shares | 107 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
528.32 | 127 Ordinary Shares | 127 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
618.87 | 147 Ordinary Shares | 147 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
700.04 | 172 Ordinary Shares | 172 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
794.56 | 191 Ordinary Shares | 191 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
873.60 | 208 Ordinary Shares | 208 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
982.94 | 238 Ordinary Shares | 238 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
993.75 | 233 Ordinary Shares | 233 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,014.75 | 246 Ordinary Shares | 246 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,080.69 | 257 Ordinary Shares | 257 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,087.47 | 258 Ordinary Shares | 258 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,089.28 | 256 Ordinary Shares | 256 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,093.12 | 256 Ordinary Shares | 256 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,116.72 | 264 Ordinary Shares | 264 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,124.64 | 264 Ordinary Shares | 264 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,130.75 | 267 Ordinary Shares | 267 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,168.61 | 274 Ordinary Shares | 274 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,172.92 | 284 Ordinary Shares | 284 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,192.80 | 284 Ordinary Shares | 284 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,244.88 | 304 Ordinary Shares | 304 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,272.04 | 308 Ordinary Shares | 308 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,306.04 | 317 Ordinary Shares | 317 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,310.16 | 309 Ordinary Shares | 309 |
Page 7
AnnexureA
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,561.80 | 380 Ordinary Shares | 380 |
|---|---|---|---|---|---|
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,617.66 | 387 Ordinary Shares | 387 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,627.40 | 395 Ordinary Shares | 395 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,870.48 | 454 Ordinary Shares | 454 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,895.28 | 447 Ordinary Shares | 447 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
1,904.53 | 454 Ordinary Shares | 454 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,000.30 | 482 Ordinary Shares | 482 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,135.00 | 500 Ordinary Shares | 500 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,140.00 | 500 Ordinary Shares | 500 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,248.25 | 529 Ordinary Shares | 529 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,388.30 | 570 Ordinary Shares | 570 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,627.13 | 627 Ordinary Shares | 627 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,710.13 | 657 Ordinary Shares | 657 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,753.92 | 662 Ordinary Shares | 662 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,868.75 | 675 Ordinary Shares | 675 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
2,995.23 | 714 Ordinary Shares | 714 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
3,063.60 | 720 Ordinary Shares | 720 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
3,221.84 | 782 Ordinary Shares | 782 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
3,586.87 | 841 Ordinary Shares | 841 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
3,679.84 | 872 Ordinary Shares | 872 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
3,714.90 | 915 Ordinary Shares | 915 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
3,723.20 | 895 Ordinary Shares | 895 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
4,008.22 | 967 Ordinary Shares | 967 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
4,847.58 | 1,146 Ordinary Shares | 1,146 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
5,270.72 | 1,267 Ordinary Shares | 1,267 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
5,349.72 | 1,308 Ordinary Shares | 1,308 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
5,386.58 | 1,313 Ordinary Shares | 1,313 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
5,454.07 | 1,319 Ordinary Shares | 1,319 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
5,819.17 | 1,409 Ordinary Shares | 1,409 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
5,899.56 | 1,398 Ordinary Shares | 1,398 |
Page 8
AnnexureA
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
6,506.75 | 1,531 Ordinary Shares | 1,531 |
|---|---|---|---|---|---|
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
7,954.30 | 1,933 Ordinary Shares | 1,933 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
8,987.00 | 2,150 Ordinary Shares | 2,150 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
9,407.02 | 2,317 Ordinary Shares | 2,317 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
9,859.07 | 2,353 Ordinary Shares | 2,353 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
10,926.75 | 2,571 Ordinary Shares | 2,571 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
11,606.04 | 2,817 Ordinary Shares | 2,817 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
12,166.36 | 2,953 Ordinary Shares | 2,953 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
15,410.82 | 3,678 Ordinary Shares | 3,678 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
30,761.50 | 7,238 Ordinary Shares | 7,238 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
35,447.79 | 8,583 Ordinary Shares | 8,583 |
| 08/07/2022 | Mitsubishi UFJ Financial Group, Inc |
Sale of securities by an entity controlled by Morgan Stanley |
77,740.28 | 18,869 Ordinary Shares | 18,869 |
Page 9
AnnexureB
Annexure B
This is annexure B of 2 pages referred to in Form 604, Notice of change of interest of substantial holder dated 13 July 2022
==> picture [66 x 18] intentionally omitted <==
==> picture [39 x 6] intentionally omitted <==
Authorised signatory Dated 13 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 | 20220707; |
| 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. |
|
| 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 | 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? | Ye~~s/No~~ |
| Ifyes, detailPrime broker mayreturn shares which were rehypothecated from the client at anytime. | |
| Does the lender have the right to recall early? | Ye~~s/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? | Ye~~s/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. |
|
| 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? | Ye~~s/No~~ |
| Ifyes, detailPrime broker mayreturn shares which were rehypothecated from the client at anytime. | |
| Does the lender have the right to recall early? | Ye~~s/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? | Ye~~s/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. |
|
| 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 | 20220707; |
| 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. |
Page 10
AnnexureB
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? | Ye~~s/No~~ |
| Ifyes, detailPrime broker mayreturn shares which were rehypothecated from the client at anytime. | |
| Does the lender have the right to recall early? | Ye~~s/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? | Ye~~s/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.
Page 11