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WORLEY LIMITED — Major Shareholding Notification 2015
May 6, 2015
66073_rns_2015-05-06_bb0a0078-a090-45de-b9d3-e762fca97366.pdf
Major Shareholding Notification
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MITSUBISHI-UFJ FINANCIAL GROUP
FACSIMILE TRANSMISSION HEADER
| DATE OF MESSAGE: 5/7/2015 |
MESSAGE NO: | NUMBER OF PAGES INCLUDING COVER PAGE: 22 |
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|---|---|---|---|---|---|---|
| TO: ASX Market Announcements Office FAX NO. (61) 2 9347 0005 |
cc: | |||||
| FROM: MITSUBISHI-UFJ FINANCIAL GROUP Corporate Administration Department (Attn: YOSHIDA) |
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| FAX NO. 81-3-6214-6367 RE: Submission of FORM 603 |
TEL NO 81-3-6214-6626 |
We hereby submit Form 603 as attached.
Best regards,
Yasutoshi Yoshida TEL: 81-3-6214-6626 e-mail: [email protected]
This fax message contains confidential and/or personal information, which should not be read by a person other than the specified addressee, disclosed or copied. If you have received this fax in error, please contact the number indicated.
Form 603 Corporations Act 2001
Section 671B
Notice of initial substantial holder
| To Company Name/Scheme | WORLEYPARSONS LIMITED |
|---|---|
| ACN/ARSN | 096 090 158 |
| 1. Details of substantial holder (1) | |
| Name | Milsubishi UFJ Financial Group, Inc. |
| ACN/ARSN (if applicable) | Not Applicable ____ |
| The holder became a substantial holder on | 30 April 2015 |
|---|---|
2. Details of voting power
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in on the date the substantial holder became a substantial holder are as follows:
| Class of securities (4) | Number of securities | Person's votes (5) | Voting power (6) |
|---|---|---|---|
| Ordinary Shares | 12,456.386 | 12.456.386 | 5.10% |
| Options | 324 | 32,400 | 0.01% |
| American Depositary Receipts | 10,820 | 10,820 | 0.00% |
| Based on 244,389,452 Ordinary Shares Outstanding |
3. Details of relevant interests
- I
The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:
| Holder of relevant interest | Nature of relevant interest (7) | Class and number of securities |
|
|---|---|---|---|
| linc. | Mitsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited has a relevant interest in under section 608(3) of the Corporations Act as 28,730 Ordinary Shares Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Rtonley Inc |
||
| linc. | Mitsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited has a relevant interest in under section 608(3) of the Corporations Act as 10,318,607 Ordinary Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Shares Chambers Inc. |
||
| linc. | Mitsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited 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 471,761 Ordinary Shares Stanley Inc. |
||
| linc. | Mitsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited 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 [98,617 Ordinary Shares Stanley Inc. |
||
| linc. | Mitsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited has a relevant interest in ansiety why materials and conservations and as a relevant interest in under section Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley Inc. |
||
| linc. | Mitsubishi UFJ Financial Group, Relevant Interest In shares that Morgan Stanley Australia Securities Limited has a relevant interest in under section 606(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan 401,000 Ordinary Shares Stanley Inc. |
||
| ilnc. | Mitsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited Relevant interest in anores that mergan stating control or corporations Act as 13,099 Ordinary Shares Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanlev Inc. |
発信:三菱UFJ信託銀行IS事業部
| lnc. | Mitsubishi UFJ Financial Group Relevant interest in shares that Morgan Stanley Australia Securities Limited has a relevant Interest in under section 608(3) of the Corporations Act as 621,741 Ordinary Shares |
||
|---|---|---|---|
| Stanley Inc. Milsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited |
|||
| linc. | has a relevant Interest in under section 608(3) of the Corporations Act as 13,400 Ordinary Shares Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley Inc. |
||
| ling. | Mitsubishi UFJ Financial Group, Relevant interest in shares that Morgan Stanley Australia Securities Limited has a relevant interest in under section 608(3) of the Corporations Act as 10,820 American Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Depositary Receipts ISlaniev Inc |
||
| Mitsubishi UFJ Trust and Banking Corporation |
Registered holder of Ordinary Shares | 416,725 Ordinary Shares | |
| Milsubishi UFJ Asset Management Co., Ltd |
Registered holder of Ordinary Shares | 72,706 Ordinary Shares |
4. Details of present registered holders
The persons registered as holders of the securities referred to in paragraph 3 above are as follows:
| Holder of relevant interest | Registered holder of securities | Person entitled to be reaistered as holder (8) |
Class and number of securilies |
|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | HSBC Bank Australia Limited | Not Applicable | 176 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | HSBC Custody Nominees (Australia) Limited | Not Applicable | 2,015 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | JPMorgan Chase Bank, N.A., Sydney | Not Applicable | 20.923 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | National Australia Bank Limited | Not Applicable | 5.131 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | National Nominees Limited | Not Applicable | 485 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | HSBC Bank Australia Limited | Not Applicable | 459,808 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | HSBC Custody Nominees (Australia) Limited | Nol Applicable | 3,092,464 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | JP Morgan Chase Bank, Sydney | Not Applicable | 3,399,649 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | Mellon Bank, N.A | Not Applicable | 162,766 Ordinary Shares |
| Mitsublshi UFJ Financial Group, Inc. | Mellon Trust | Not Applicable | 1,183,323 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Investment Management Limited |
Not Applicable | 242,933 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | National Australia Bank Limited | Not Applicable | 1.178.948 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | Northern Bank & Trust Co. | Not Applicable | 434,237 Ordinary Shares |
| Mitsublshi UFJ Financial Group, Inc. | State Street Boston | Not Applicable | 142,616 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | Australia and New Zealand Banking Group | Nol Applicable | 21,861 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | Unknown | Not Applicable | 471,761 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | HSBC Custody Nominees (Australia) Limited | Not Applicable | 98.617 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | Not Applicable | INot Applicable | 324 Options | |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | lUnknown | Not Applicable | 401,000 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | Unknown | Not Applicable | 13,099 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Australia Securities (Nominee) IPty Limited |
Not Applicable | 621,741 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Wealth Management Australia Pty discretionary client account |
Not Applicable | 13,400 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | DTC through Morgan Stanley | Not Applicable | 10.820 American Depositary Receipts |
|
| Mitsubishi UFJ Financial Group, Inc. | Milsubishi UFJ Trust and Banking Corporation | Not Applicable | (416,725 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | Mitsubishi UFJ Asset Management Co., Ltd | Not Applicable_ | 72.706 Ordinary Shares |
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the substantial holder became a substantial holder is as follows:
| Holder of relevant interest | Date of | Consideration (9) | Class and number interest of securities |
|
|---|---|---|---|---|
| acquisition | Cash | Non-Cash | ||
| Mitsubishi UFJ Financial Group, Inc. | 30 December 2014 |
10.0056 | N/A | 120,744 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 30 December 2014 |
8.0750 (ADR - in USD) | N/A | 50 American Depositary Receipts |
| Milsubishi UFJ Financial Group, Inc. | 31 December 2014 |
10.0796 | N/A | 15,023 Ordinary Shares |
| Mitsubishi UFJ Financial Group. Inc. | 31 December 2014 |
10.0800 | N/A | 153 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 31 December 2014 |
8.2250 (ADR - in USD) | $\overline{\text{NA}}$ | 100 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 31 December 2014 |
N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
998 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2 January 2015 | 10.0448 | N/A | 57,312 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 5 January 2015 | 10.2063 | NIA | 46.756 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 5 January 2015 | 10.2168 | N/A | 8,255 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 5 January 2015 | 8.1116 (ADR - in USD) | N/A N/A |
265 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 6 January 2015 | 9.6820 | N/A | 56,644 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 6 January 2015 | 9.6828 | N/A | 4,080 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 6 January 2015 | 9.6859 | N/A | 48,495 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 6 January 2015 | 7.9640 (ADR - in USD) | N/A | 15 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 7 January 2015 8 January 2015 |
9.2361 | N/A | 164,738 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. Mitsubishi UFJ Financial Group, Inc. |
8 January 2015 | 9.0705 | N/A | 53,489 Ordinery Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8 January 2015 | 9.0903 | N/A | 14,330 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 7.3826 (ADR - In USD) | N/A | 50 American Depositary Receipts | |
| Mitsubishi UFJ Financial Group, Inc. | 9 January 2015 12 January |
9.2441 | N/A | 63,154 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2015 12 January |
9.0835 | N/A | 104,741 Ordinary Shares |
| 2015 13 January |
7.3059 (ADR - in USD) | NA | 390 American Depositary Receipts | |
| Mitsubishi UFJ Financial Group, Inc. | 2015 | 9.0810 | N/A | 119,602 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 13 January 2015 |
8.9396 | 14,351 Ordinary Shares | |
| Mitsubishi UFJ Financial Group. Inc. | 14 January | 8.8593 | N/A | 56,035 Ordinary Shares |
| 2015 | ||||
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 14 January 2015 |
7.1545 (ADR - in USD) | N/A | 450 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 15 Januery 2015 |
8.8700 | N/A | 200 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 15 January 2015 |
8.8960 | N/A | 84,732 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 15 January 2015 |
8.9100 | NIA | 8,196 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 15 January 2015 |
8.8986 | N/A | 23,351 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 16 January 2015 |
8.7186 | N/A | 49,549 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 16 January 2015 |
8.8400 | N/A | 1,434 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 19 January 2015 |
9.1674 | N/A | 22,032 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 20 January 2015 |
8.8956 | N/A | 64,386 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 20 January 2015 |
7.1931 (ADR - in USD) | N/A | 340 American Depositary Receipls |
| Mitsubishi UFJ Financial Group, Inc. | 20 January 2015 |
N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
81,715 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 21 January 2015 |
8.8260 | N/A | 61.371 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 21 January 2015 |
8.8500 | Transler in by an entity controlled by Morgan Stanley - see Annexure B |
49.844 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 21 January 2015 |
Borrow by an entity controlled by Morgan Stanley - see |
53,631 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 22 January | N/A | Annexure B | 96,640 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 2015 $22$ January |
9.0646 | N/A Borrow by an |
|
| 2015 | N/A | entity controlled by Morgan Stanley - see Annexure B |
284,914 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 23 January 2015 |
9.5557 | NIA. | 27,353 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 23 January 2015 |
Borrow by an entity controlled by Morgan Stanley - see Annexure B |
151,557 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 27 January | N/A | N/A | 95,753 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2015 27 January |
97053 7.5850 (ADR - in USD) |
NA | 100 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 2015 27 January 2015 |
N/A | Borrow by an entily controlled by Morgan Stanley - see Annexure B N/A |
132,279 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 26 January 2015 |
9.6629 | N/A | 199.025 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 28 January 2015 |
96499 | N/A | 11,208 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 28 January 2015 |
7.4951 (ADR - in USD) | Borrow by an | 35 American Depositary Receipts |
| Mitsubisht UFJ Financial Group, Inc. | 28 January 2015 |
N/A | entity controlled by Morgan Stanley - see Annexure B |
35,599 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 29 January 2015 |
9,4820 | N/A | 94,328 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 29 January 2015 |
9,3700 | N/A | 619 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 29 January 2015 |
7.4660 (ADR - in USD) | N/A | 215 American Depositary Receipls |
| Mitsubishi UFJ Financial Group, Inc. | 29 January 2015 |
N/A | Borrow by an entity controlled by Morgan Slanley - see Annexure B |
279,992 Ordinary Shares |
| Mitsublshi UFJ Financial Group. Inc. | 30 January 2015 |
9.6531 | N/A | 190,205 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 30 January 2015 |
9.6500 | NIA | 416 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 30 January | N/A | 50 American Depositary Receipts | |
| Milsubishi UFJ Financial Group, Inc. | 2015 30 January 2015 |
7.4580 (ADR - in USD) | Borrow by an entity controlled by Morgan |
|
| N/A | Stanley - see Annexure B |
346,624 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 2 February 2015 |
9.6657 | N/A | 163,075 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 2 February 2015 |
9.5800 | N A | 1,667 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2 February 2015 |
9.7800 | N/A | 201 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 3 February 2015 |
10.0965 | N/A | 159 141 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 4 February 2015 |
10,4176 | N/A | 18,000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 4 February 2015 |
10.4677 | N/A | 140,468 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 4 February 2015 |
10.5500 | ΝĀ | 1,724 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 4 February 2015 |
7.9473 (ADR - in USD) | N/A | 110 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 5 February 2015 |
10.0906 | N/A | 143.143 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 5 February 2015 |
10.1000 | N/A | 299 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 5 February 2015 |
10.0915 | N/A | 18,954 Ordinary Shares |
| Mitsubishi UFJ Financial Group. Inc. | 5 February | N/A | 45 American Depositary Receipts | |
| Mitsubishi UFJ Financial Group, Inc. | 2015 5 February |
7.9531 (ADR - In USD) | Borrow by an | |
| 2015 | entity controlled by Morgan Stanley - see |
|||
| N/A | Annexure B | 6,365 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 6 February 2015 |
10.2197 | N/A | 137,634 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 6 February 2015 |
10.1975 | N/A | 1,532 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9 February 2015 |
10.3879 | N/A | 36,939 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9 February 2015 |
10.4303 | N/A | 3,303 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9 February 2015 |
Borrow by an entity controlled |
||
| by Morgan $Stanley - see$ |
||||
| 10 February | N/A | Annexure B N/A |
20,000 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 2015 | 10.6196 | N/A | 198,965 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10 February 2015 |
10.5520 | 3.890 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 10 February 2015 |
8.1060 (ADR - in USD) | N/A | 220 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 10 February 2015 |
N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
49,328 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10 February 2015 |
N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
268,747 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11 February 2015 |
10.2415 | N/A | 155,369 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11 February 2015 |
10.2178 | N/A | 1,055 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12 February 2015 |
10,1242 | N/A | 84,041 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12 February 2015 |
10.1245 | N/A | 1,424 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12 February 2015 |
10.2396 | N/A | 15,910 Ordinary Shares |
| Mitsublshi UFJ Financial Group, Inc. | 12 February 2015 |
N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
16,743 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 13 February 2015 |
10.3922 | ĪŴΑ | 227,393 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 13 February 2015 |
10.4092 | Ñ٨ | 2,825 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 16 February 2015 |
11.3921 | N/A | 36.000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 16 February | N/A | 137,452 Ordinary Shares | |
|---|---|---|---|---|
| 2015 16 February |
11.1832 | $\overline{\text{NA}}$ | 750 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 2015 17 February |
11.5300 | N/A | 109,355 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2015 | 11,3263 | $\overline{\mathsf{N}}$ /A | |
| Mitsubishi UFJ Financial Group, Inc. | 18 February 2015 |
11.4651 | NIA | 89,153 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 18 February 2015 |
11.4151 | $\overline{\mathsf{N/A}}$ | 6,454 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 19 February 2015 |
11.4542 | 187,034 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 19 February 2015 |
11.5000 | NIA | 664 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 19 February 2015 |
8,8783 (ADR - in USD) | N/A | 75 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 20 February 2015 |
11.3045 | ÑΆ | 42.585 Ordinary Shares |
| Mitsubishi UFJ Financial Group. Inc. | 23 February 2015 |
11.3981 | $\overline{\mathsf{N}}$ A | 78,859 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 23 February | 11.4724 | $\overline{\text{N/A}}$ | 6.944 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2015 24 February |
11.2815 | N/A | 138,148 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2015 24 February |
N/A | 1.312 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 2015 24 February |
11.2888 | N/A | 20 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 2015 25 February |
8.7890 (ADR - in USD) | NĀ | 592,073 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2015 25 February |
10.0439 | N/A | 6,099 Ordinary Shares |
| 2015 25 February |
11.0000 | N/A | 120 American Depositary Receipts | |
| Mitsubishi UFJ Financial Group, Inc. | 2015 25 February |
7.8117 (ADR - In USD) | Borrow by an | |
| Mitsubishi UFJ Financial Group, Inc. | 2015 | entity controlled by Morgan |
||
| N/A | Stanley - see Annexure B |
132,969 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 26 February 2015 |
10.0123 | N/A | 329,893 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 26 February 2015 |
9,9500 | NJA | 1,344 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 26 February 2015 |
7.7044 (ADR - in USD) | $\overline{\text{MA}}$ | 135 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 26 February 2015 |
Borrow by an entity controlled |
||
| by Morgan Stanley - see |
||||
| N/A | Annexure B N/A |
46,606 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 27 February 2015 |
9,9437 | $\overline{\mathsf{N}}\mathsf{A}$ | 95.178 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 27 February 2015 |
9,9955 | 26 593 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 27 February 2015 |
9.8759 | NIA | 11,504 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2 March 2015 | 9,8231 | NIA | 84.112 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2 March 2015 | 10.0295 | N/A | 50,378 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | $2$ March 2015 | Borrow by an entity controlled |
||
| by Morgan Stanley - see Annexure B |
20,000 Ordinary Shares | |||
| Mitsubishi UFJ Financial Group, Inc. | 4 March 2015 | N/A 99824 |
N/A | 45,198 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 4 March 2015 | 9.9600 | N/A | 145 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 4 March 2015 | 10.2000 | N/A | 471 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 4 March 2015 | 8.0135 (ADR - in USD) | N/A N/A |
195 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 5 March 2015 | 9,9379 | $\overline{\mathsf{N}}$ A | 81,551 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | $\overline{5}$ March 2015 5 March 2015 |
9,9300 | $\overline{\text{NA}}$ | 35,337 Ordinary Shares 15 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 5 March 2015 | 7.7020 (ADR - in USD) | Borrow by an | |
| Mitsubishi UFJ Financial Group. Inc. | entity controlled by Morgan |
|||
| NIA | Stanley - see Annexure B |
348,588 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | $6$ March $2015$ | 10.0626 | NIA | 54,269 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 6 March 2015 | 9.9700 | N/A | 458 Ordinary Shares |
$\mathcal{L}_{\mathcal{A}}$
| Mitsubishi UFJ Financial Group, Inc. | 6 March 2015 | Borrow by an entity controlled by Morgan Stanley - see |
||
|---|---|---|---|---|
| N/A | Annexure B | 170.100 Ordinary Shares | ||
| Mitsubish UFJ Financial Group, Inc. | 9 March 2015 | 9.7176 | N/A | 76,832 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9 March 2015 | 9.7321 | N/A | 2,331 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9 March 2015 | 7.4722 (ADR - in USD) | N/A | 200 American Depositary Receipls |
| Mitsubishi UFJ Financial Group, Inc. | 10 March 2015 | 9.4215 | N/A | 330,042 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 10 March 2015 | 7.0672 (ADR - in USD) | ĪWA | 465 American Depositery Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 10 March 2015 | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
34,800 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 10 March 2015 | N/A | Borrow by an entity controlled by Morgan Stanley- |
125,050 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11 March 2015 | N/A | see Annexure B N/A |
140,592 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 11 March 2015 | 9.2203 | N/A | 640 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 11 March 2015 | 7.0146 (ADR - In USD) N/A |
Borrow by an entity controlled by Morgan Stanley - see Annexure B |
91 978 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12 March 2015 | 9.7736 | N/A | 208.897 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 12 March 2015 | N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
142 515 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 13 March 2015 | 10.12 | N/A | 408 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 13 March 2015 | 10.0863 | N/A | 248 255 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 13 March 2015 | 9.9572 | N/A | 1,570 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 13 March 2015 | N/A | Borrow by an entity controlled by Morgan Stanley $-$ see Annexure B |
1,000,000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 16 March 2015 | 9,9651 | ÑΆ. | 106,891 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 16 March 2015 | 9.9507 | N/A | 200,201 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 16 March 2015 | 7.5868 (ADR - in USD) | N/A | 60 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 16 March 2015 | N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
55,000 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 17 March 2015 | 10.0603 | N/A | 79.993 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 17 March 2015 | NIA | 3,062 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 17 March 2015 | 9.9883 | N/A | 250 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 17 March 2015 | 7.6268 (ADR - in USD) N/A |
Borrow by an entity controlled by Morgan $Stanley - see$ Annexure B |
114,761 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 18 March 2015 | 9.7570 | NIA | 181,869 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 18 March 2015 | NA. | 57,347 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 18 March 2015 | 97648 | Borrow by an entity controlled by Morgan |
|
| N/A | Slanley - see Annexure B |
130,224 Ordinary Shares | ||
| Mitsublshi UFJ Financial Group, Inc. | 19 March 2015 | 9.9604 | N/A | 121,944 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 19 March 2015 | 10.0019 | N/A | 48,270 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 20 March 2015 | 10.0444 | N/A | 175,538 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 20 March 2015 | 10.0300 | N/A | 3,077 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 23 March 2015 | 10.1291 | N/A | 141,469 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 23 March 2015 | 10.1156 | ΝIΑ. | 2,555 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 24 March 2015 | 10.1768 | N/A | 171,719 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 24 March 2015 | 10.1793 | N/A | 51,775 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 25 March 2015 | $\overline{\mathsf{NA}}$ | 70,257 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 25 March 2015 | 10.1211 10.0937 |
N/A | 70,861 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 25 March 2015 | 7.8233 (ADR - in USD) | N/A | 150 American Depositary Receipts |
| Milsubishi UFJ Financial Group, Inc. | 25 March 2015 | Borrow by an entity controlled by |
||
| Morgan Stanley - see Annexure B |
96.451 Ordinary Shares | |||
| Mitsubishi UFJ Financial Group, Inc. | 25 March 2015 | N/A | Borrow by an entity | |
| controlled by Morgan Stanley - |
1,011,621 Ordinary Shares | |||
| Mitsubishi UFJ Financial Group, Inc. | 26 March 2015 | N/A | see Annexure B N/A |
333.700 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 26 March 2015 | 9.8609 | N/A | 29.745 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 27 March 2015 | 9.9132 | NIA | 217,153 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | $27$ March $2015$ | 9.8874 | N٨. | 197 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 27 March 2015 | 10.0900 | N/A | 63,074 Ordinary Shares |
| Mitsubisht UFJ Financial Group, Inc. | 27 March 2015 | 10.0095 | N/A | 185 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 27 March 2015 | 7.5966 (ADR - in USD) | Borrow by an entity | |
| controlled by Morgan Stanley - |
107 Ordinary Shares | |||
| 27 March 2015 | N/A | see Annexure B Borrow by an entily |
||
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley - |
6,971 Ordinary Shares | ||
| N/A | see Annexure B TVA |
171,655 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 30 March 2015 30 March 2015 |
9.3492 | N/A | 28,061 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 30 March 2015 | 9.3985 | Borrow by an entity | |
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley - |
|||
| 30 March 2015 | N/A | see Annexure B Borrow by an entity |
41,119 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan Stanley - |
|||
| NIA | see Annexure B N/A |
29.967 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | $31$ March $2015$ | 9.5456 | N/A | 65.760 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 31 March 2015 | 9.4886 | N/A | 51.823 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 31 March 2015 | 7.2196 (ADR - In USD) | N/A | 50 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 1 April 2015 | 9.3746 | 80.081 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 1 April 2015 | 9.4060 | N/A | 120,921 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2 April 2015 | 9.2942 | Ñ۱A NIA |
185,529 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2 April 2015 | 9.2782 | N/A | 65,592 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 2 April 2015 | 7.0720 (ADR - In USD) | N/A | 25 American Depositary Receipts |
| Mitsubishi UFJ Financial Group, Inc. | 7 April 2015 | 9.5783 | N/A | 81,877 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8 April 2015 | 9.8636 | N A | 116,798 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8 April 2015 | 9.9400 | N/A | 821 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 8 April 2015 | 9.6500 | $\overline{\text{N/A}}$ | 162 Ordinary Shares |
| Milsubishi UFJ Financial Group, Inc. | 9 April 2015 9 April 2015 |
9.7402 | N/A | 76,365 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9 April 2015 | 9.7629 | N/A | 9,460 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 9.7640 | TV/A | 2,440 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 10 April 2015 | 9.6913 | N/A | 235,762 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10 April 2015 | 9.6765 | Borrow by an | 24,620 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 10 April 2015 | entity controlled by Morgan |
||
| Stanley - see | 46.623 Ordinary Shares | |||
| 13 April 2015 | N/A | Annexure B ΝA |
118,100 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 13 April 2015 | 9.7462 | N/A | |
| Mitsubishi UFJ Financial Group, Inc. | 13 April 2015 | 9.7265 | N/A | 39,802 Ordinary Shares |
| Mitsublehi UFJ Financial Group, Inc. | 13 April 2015 | 7.3478 (ADR - in USD) | Borrow by an entity | 95 American Depositary Receipls |
| Mitsubishi UFJ Financial Group, Inc. | N/A | controlled by | 49,800 Ordinary Shares | |
| Morgan Stanley - see Annexure B |
||||
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 13 April 2015 | Borrow by an entity | ||
| controlled by Morgan Stanley- |
||||
| NJA | see Annexure B N/A |
21 647 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 14 April 2015 | 9,3156 | NA | 319,367 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 14 April 2015 | 9.2532 | N/A | 112 133 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 14 April 2015 | 7.0854 (ADR - in USD) | 170 American Depositary Receipts | |
| Mitsubishi UFJ Financial Group, Inc. | 15 April 2015 | 9.4645 | N/A | 248.119 Ordinary Shares |
| Mitsubishi UFJ Financial Group. Inc. | 16 April 2015 | 10.0203 | N/A | 161.500 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 16 April 2015 | 10.1053 | N/A | 29,362 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 17 April 2015 | 11.0945 | N/A | 286,256 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 20 April 2015 | 10.5594 | N/A | 237,427 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 20 April 2015 | 10.5134 | N/A | 53,285 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 20 April 2015 | 8.3566 (ADR - in USD) | N/A | 1,000 American Depositary Receipls |
| Mitsubishi UFJ Financial Group, Inc. | 21 April 2015 | 10.7045 | N/A | 54,010 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 21 April 2015 | 10 7047 | N/A | 11,107 Ordinary Shares |
| Mitsubisht UFJ Financial Group, Inc. | 22 April 2015 | 10.98 | ℼ | 307 Ordinary Shares |
| Mitsubishi UFJ Financial Group. Inc. | 22 April 2015 | 10.9350 | N/A | 74.362 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 22 April 2015 | 10.9464 | N/A | 98,796 Ordinary Shares |
| Mitsubishi UFJ Financial Group. Inc. | 23 April 2015 | 11.2044 | N/A | 51,613 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 23 April 2015 | 11.2405 | N/A | 10,002 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 23 April 2015 | Acquisition of a | ||
| relevant interest when selling the |
||||
| put option by an entity controlled |
||||
| by Morgan | ||||
| 0.3199 | Stanley - see Annexure B |
234 Options | ||
| Milsubishi UFJ Financial Group, Inc. | 24 April 2015 | 11.5158 | N/A | 86,418 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 24 April 2015 | 11.5095 | N/A | 127,110 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 24 April 2015 | 11.5113 | NIA | 14,386 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 24 April 2015 | Acquisition of a relevant interest |
||
| when selling the | ||||
| put option by an entity controlled |
||||
| by Morgan Stanley - see |
||||
| 27 April 2015 | 0.3544 | Annexure B N/A |
90 Options | |
| Milsubishi UFJ Financial Group, Inc. | 11.8408 | TWA | 72,869 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | 27 April 2015 | 11.8473 | Borrow by an entity | 13,084 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 27 April 2015 | controlled by | ||
| N/A | Morgan Stanley - see Annexure B |
88.366 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 27 April 2015 | Borrow by an entity controlled by |
||
| N/A | Morgan Stanley - see Annexure B |
99,630 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | 28 April 2015 | 11.4988 | N/A | 386,434 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 28 April 2015 | 11.4704 | N/A | 30,581 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 28 April 2015 | Borrow by an entity controlled by |
||
| Morgan Stanley - | 28.379 Ordinary Shares | |||
| Mitsubishi UFJ Financial Group, Inc. | 28 April 2015 | N/A | see Annexure B Borrow by an entity |
|
| controlled by Morgan Stanley- |
||||
| Mitsubishi UFJ Financial Group, Inc. | 29 April 2015 | N/A | see Annexure B N/A |
198,111 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 29 April 2015 | 11,4465 | N/A | 213,554 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 29 April 2015 | 11.4862 | Borrow by an | 17,703 Ordinary Shares |
| entity controlled by Morgan |
||||
| $Stanley - see$ Annexure B |
100,000 Ordinary Shares | |||
| N/A |
発信:三菱UFJ信託銀行IS事業部
| Mitsubishi UFJ Financial Group, Inc. | 30 April 2015 | 11,4457 | N/A | 21,753 Ordinary Shares |
|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 30 April 2015 | 11.5500 | NIA | 1,248 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 30 April 2015 | N/A | Borrow by an entily controlled by Morgan Stanley – see Annexure B |
57,724 Ordinary Shares |
| Mitsubishi UFJ Financial Group, Inc. | 30 April 2015 | N/A | Borrow by an entity controlled by Morgan Stanley - see Annexure B |
103 455 Ordinary Shares |
6. Associates
The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:
| Name and ACN/ARSN (if applicable) | Nature of association |
|---|---|
| See Annexure A | Each company referred to is an associate of Mitsubishi UFJ Financial Group. Inc. under section 12 of the Corporations Act |
7. Addresses
The addresses of persons named in this form are as follows:
$\hat{\mathcal{A}}$
| Name | Address |
|---|---|
| Mitsubishi UFJ Financial Group, Inc. | 2-7-1, Marunouchi, Chiyoda-ku, Tokyo, 100-8330, Japan |
Signature
| print name | Mr Masaya Fujimoto | capacity | Authorised Signatory |
|---|---|---|---|
| sign here | The Contract of the Contract of the Contract of the Contract of the Contract of the Contract of the Contract of the Contract of the Contract of The Contract of The Contract of The Contract of The Contract of The Contract | date | 7 May 2015 |
ANNEXURE "A"
This is Annexure "A" of 4 pages referred to in the Form 603 (Notice of Initial Substantial Holder), signed by me and dated 7 May 2015.
Signed: Mr. Masa ∕a Fuilmolo
Mitsubishi UFJ Financial Group, Inc. The Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi UFJ Trust and Banking Corporation Mitsubishi UFJ Securities Holdings Co., Ltd. MU Business Engineering, Ltd. The Mitsubishi UFJ Factors Limited Mitsubishi UFJ Staff Service Co., Ltd. Mitalibishi UFJ Stari Service Co., Ltd.
MU Office Service Co., Ltd.
NU Office Service Co., Ltd.
Tokyo Credit Service, Ltd.
Mitsubishi UFJ Loan Business Co., Ltd.
Mitsubishi UFJ Loan Business Co., Ltd. MU Welfare Service Co., Ltd.
MU Welfare Service Co., Ltd.
Mitsublshi UFJ Information Technology, Ltd. MU Center Service Tokyo Co., Ltd. MU Center Service Nagoya Co., Ltd. MU Center Service Osaka Co., Ltd. MU Business Aid Co., Ltd.
MU Business Aid Co., Ltd.
MU Property Reserch Company Limited Mitsubishi UFJ Home Loan CREDIT CO., LTD. The Diamond Home Credit Company Limited Mitsubishi UFJ Reserch & Consulting Co., Ltd. Mitsubishi UFJ Reserch & Consulting Co.,
MU Frontier Servicer Co., Ltd.
Otemachi Guarantee Co., Ltd.
MU Loan Administration Support Co., Ltd.
MU Operation Control Support Co., Ltd.
Shintokyo Guarantee Co., Ltd. Tokumei-Kumiai (Only One)
Kabu.com Securities Co., Ltd. MU Communications Co., Ltd. Tokyo Associates Finance Corp Japan Electronic Monetary Claim Organization MU Business Partner Co., Ltd. MUT Business Outsourcing Co., Ltd. Mezzanine Solution II Limited Partnership Mitsubishi UFJ Capital Co., Ltd. Mitsubishi UFJ Venture Fund No.2 Investment Limited Liability Partnership MUFG Venture Capital No.1 Limited Liability Partnership Mitsubishi UFJ Capital II Limited Partnership Mitsubishi UFJ Capital III Limited Partnership Mitsubishi UFJ Capital IV Limited Partnership Tohoku Senary Industry Support, Limited Partnership OIDE Fund Investment Limited Partnership The Mitsubishi Asset Brains Company, Limited BOT Lease Co., Ltd. The Taisho Bank, Ltd. Talsho Shinyohosho Co., Ltd.
The Chukyo Bank, Ltd. The Chukyo Card Co., Ltd. Mobit Co., Ltd. Nippon Mutual Housing Loan Co., Ltd. JM Real Estate Co., Ltd. Jibun Bank Corporation Paygent Co., Ltd. JACCS CO.,LTD. JALCARD Inc. Yume Shokei Fund Yume Shokei Fund No.2 Next Step Fund Mezzanine Solution I Limited Partnership M-U-Trust Sougou Kanri Co., Ltd. Mitsubishi UFJ Trust Business Co., Ltd. Mitaubishi OPJ Trust Bushless Co., Ed.
Mitsubishi UPJ Trust Systems Co., Ltd.
Mitsubishi UPJ Trust Investment Technology Institute Co., Ltd.
Mitsubishi UPJ Trust Hosyo Co., Ltd.
Rysshin DC Carl Company Ltd.
Natal Trus M-U-Trust-Apple Planning Company, Ltd. Mitsubishi UFJ Real Estate Services Co., Ltd. Mitsubishi UFJ Daiko Business Co., Ltd. The Master Trust Bank of Japan, Ltd. MU Investments Co., Ltd.
MU Investments Co., Ltd.
Mitsubishi UFJ Global Custody Japan Limited Japan Shareholder Services Ltd. Mitsubishi UFJ Asset Management Co., Ltd. Tokumel-Kumlai (CPI) Aberdeen Investment Management K. K. AMP Capital Investors KK
Corporate Value Up Fund Investment Limited Liability Partnership MM Partnership NINE Faculture and provide Co., Ltd.
MUS Information Systems Co., Ltd.
MUS Business Service Co., Ltd.
MU Hands-on Capital Ltd. MU Hands-on Capital Ltd.
KOKUSAI Asset Management Co., Ltd.
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.
Mitsubishi UFJ Merrill Lynch PB Securities Co., Ltd.
Marunouchi Capital Co., Ltd.
Mitsubishi UFJ NICOS Co., Ltd Card Business Service Co., Ltd. MU NICOS Business Service Co., Ltd. MU NICOS Credit Co., Ltd. JMS Co., Ltd.
Paygent Co., Ltd.
ACOM CO., LTD. ACOMEOO, LTD.
IR Loan Servicing, Inc.
AFRESH CREDIT CO., LTD.
General Incorporated Association Mirai Capital General incorporated Association with a Capital
Power Investments LLC
MU Credit Guarantee Co., Ltd.
Defined Contribution Plan Consulting of Jepan Co., Ltd. Demieu Communication ian Conserving of Separt Do., Ltd. miteduarii on um eraunam microsar Advisers Co., Ett
Milsubishi Research Institute DCS Co.,Ltd.
Mitsubishi UFJ Lease & Finance Company Limited Mitsubishi OPJ Lease & Financo Soniperity
Marunouchi Capital Fund I
Banco de Tokyo-Mitsubishi UFJ Brasil S/A
Bank of Tokyo-Mitsubishi UFJ (Canada)
ETMU Capital Corporation Engine Lease Finance Corporation BTMU Financial Services, Inc. Aviation Lease Finance L.L.C Beacon Rail Leasing, Inc.
Aviation Lease Labuan Corporation BTMU Leasing (Canada) Corporation Beacon Intermodal Leasing, LLC Beacon Intermodal Leasing, LLC
Beacon Rail Leasing Limited
ELFC Singapore Piance LLC
ELFC Singapore Pia. Ltd.
Beacon Rail Finance (UK) Limited
Beacon Rail Finance (Europe) Limited
BTMU (Curacao) Holdings N.V.
Bank of Tokyo BTMU (Europe) Limited
BTMU Leasing (UK) Ltd.
BTMU Lease (Deutschland) GmbH BTMU Leasing & Finance, Inc.
Bank of Tokyo-Milsubishi UFJ (Malaysia) Berhad BTMU Capital Leasing & Finance, Inc. BTMU North America International, Inc. Bank of Tokyo-Mitsubishi UFJ (Mexico) S.A. Bank of Tokyo-Mitsubishi of 3 (Maxie)
BTMU Nominees (HK) Limited
Drive Bank, N.A.
Union Bank, N.A.
Union Bank of California Leasing, Inc.
Union Bank of California Leasing, Inc. UBOC Community Development Corporation UBOC Comstock 1 UnionBanc Investment Services, LLC Stanco Properties, Inc.
Bankers Commercial Corporation UnionBanCal Commercial Funding Corporation UnionBanCal Equities. Inc. UnionBanCal Venture Corporation UNBC Leasing, Inc. UnionBanCal Leasing Corporation UnionBanCal Mortgage Corporation Mills-Ralston, Inc. SBS Really Inc.
HighMark Capital Management, Inc. BCC OX I, Inc. BCC OX II, Inc. SEMA OPS LLC
SEMA OPS LLC
MORGANTOWN OLS LLC
MORGANTOWN OLS LLC
MORGANTOWN OLS LLC
MORGANTOWN OLS LLC DICKERSON OL4 LLC Baytown One A, LLC Baytown One B, LLC Baytown One Partners, L.P. UBOC Insurance, Inc. TRL One A, LLC TRL One B, LLC TRL One, LP
BM1.LLC Klik Technologies Corp. UB Leasing Corporation Sand Dollar GP LLC PCB Service Corporation Pacific Crest Capital Trust I
Pacific Crest Capital Trust II
Pacific Crest Capital Trust III Pacific Capital Statutory Trust I Shiloh IV Wind Project, LLC Shiloh IV Holdings Lessor Trust Green Union | Trust Green Union II Trust Green Union III Trust Tohlease Corporation BTMU Administrators, Inc.
BTMU Funding Corporation B river currenced & Leasing Corporation B-3
BTMU Financial & Leasing Corporation B-4 BTMU Financial & Leasing Corporation B-6
BTMU Financial & Leasing Corporation B-6 U.B. Vehicle Leasing, Inc.
B. Vehicle Leasing, Inc.
BTMU Financial Resources, Inc. BTMU Service Corp. BTMU Financial & Leasing Portfolios, Inc. BTMU Financial & Leasing Corporation OX 2000 LLC OX 2000-2 LLC Southern California Business Development Corporation Catalina Solar Holdings Lessor Trust Catalina Solar, LLC
PT. BTMU-BRI Finance PT U Finance Indonesia PT. MU Research and Consulting Indonesia PT. MU Research and Consulting indonesia
BTMU Preferred Capital 1 Limited
BTMU Preferred Capital 2 Limited
BTMU Participation (Thailand) Co., Ltd.
ZAO Bank of Tokyo-Mitsubishi UFJ (Eurasia)
BTMU Preferred Capital 4 Limited BTMU Preferred Capital 7 Limited
BTMU Preferred Capital 7 Limited BTMU Preferred Capital 9 Limited BTMU Securities, Inc. BTMU LF Capital LLC BTMU LE Capital LLC
BTMU Liquidity Reserve Investment Limited
Bank of Tokyo-Mitsubishi UFJ (Turkey) Anonim Sirketi
MUFG Americas Capital Company
Bank of Ayudhya AMC Limited
Krungsi Egghetas Capitalanu Limited
Krungsi Krungsrl Factoring Company Limited Ayudhya Development Leasing Company Limited
Ayudhya Capital Auto Lease Public Company Limited Krungsriayudhya Card Company Limited General Card Services Limited Ayudhya Capital Services Company Limited Krungsri General Insurance Broker Limited Krungsri Life Assurance Broker Limited Krungsri Asset Management Company Limited Total Services Solutions Public Company Limited Total Services Solutions Public Company Limited
CFG Services Company Limited
Krungsri Securities Public Company Limited
Siam Realty and Services Company Limited
Ayudhya Total Solutions Public Company Limited
Ayudhya Total BOT Lease (HK) Co., Ltd.
PT Bumiputera - BOT Finance BOT Lease Holding Philippines, Inc. BOT Lease and Finance, Philippines, Inc. BLVT Lease and Prinance, Primppine
BTMU Leasing (Thailand) Co., Ltd.
BTMU Holding (Thailand) Co., Ltd.
Bangkok BTMU Limited Bangkok BTMO Ennied
Emerald Engine Leasing Limited
BOT Lease(Eurasia)LLC
Dah Sing Financial Holdings Limited
Dah Sing Banking Group Limited Dan Sing Bank, Limited
Morgan Stanley MUFG Loan Partners, LLC morgan otamey morto Loan Farmers, LCC
BOT Lease (Tianjin) Co., Ltd.
BOT Lease (Tianjin) Co., Ltd.
GOLDEN ASIA FUND VENTURES LTD. MC Engine Leasing Limited
Lakefield Wind Project OP Trust Lakefield Wind Project, LLC Pacwind Holdings Lessor Trust Pacific Wind, LLC
Vietnam Joint Stock Commercial Bank for Industry and Trade Tesco Card Services Limited Matro Designee Company Limited Misubishi UFJ Trust International Limited Mitsubishi UFJ Trust International Einmetr
Mitsubishi UFJ Trust & Banking Comoration (U.S.A.)
Mitsubishi UFJ Balllie Gilford Asset Management Limited Mitsubishi UFJ Global Custody S.A. Musupism on a Giobal Custory S.A.
MUTB Preferred Capital Limited
MUTB Preferred Capital Limited
Mitsubishi UFJ Investment Services (HK) Limited
Mitsubishi UFJ Asset Management (UK) Ltd. LUX J1 FUND
FGL Lux Holdings, S.à r.i.
Mitsubishi UFJ Fund Services Holdings Limited
MUFG Fund Services (Bermuda) Group Limited
MUFG Fund Services (Holdings) Limited
MUFG Fund Services Group Limited
MUFG Fund Services Grou LUX J1 FUND Rosebank Management Linner
Fulcrum Group (Guernsey) Limited
MUFG Fund Services (Cayman) Limited
MUFG Fund Services (Cayman) Group Limited
MUFG Fund Services (Ireland) Limited
MUFG Fund Services (Ireland) Limited Fulcrum Corporate Nominees Limited Fund Secretaries Limited
MUFG Fund Services Limited MUFG Fund Services Limited
MUFG Fund Services (Canada) Limited
MUFG Fund Services (US) Inc.
MUFG Fund Services (UK) Limited
MUFG Family Office Services Limited
MUFG Family Office Services (Canada) Limited
MUFG Family Offic Mandir Directors Ltd. Mansec Secretaries Ltd.
The Holdings Ltd. MU Japan Fund PLC Aberdeen Asset Management PLC Aberdeen Asset Managers Limited Abergeen Asset managers Limited
Abergeen Asset Management Asia Limited
SWS MU FUND MANAGEMENT CO.,LTD.
AMP Capital Holdings Limited
Mitsubishi United International plc
Mitsubishi International International plc Mitsubishi UFJ Securities International Pro
TMI Nominees Limited
Mitsubishi UFJ Securities (Singapore), Limited
Mitsubishi UFJ Securities (USA), Inc.
Mitsubishi UFJ Securities (HK), Limited MFHK Nominees Limited iving Zheng Investment Consulting (Shanghai) Co., Ltd. Ling Zheng Investment Consulting (Shanghai) Co., Ltd.
Mitsubishi UFJ Securities (HK) Holdings, Limited
Mitsubishi UFJ Wealth Management Bank (Switzerland), Ltd.
EASY BUY Public Company Limited
PT, Bank Nusantara Parahyanga MUFG Capital Finance 4 Lumed
MUFG Capital Finance 5 Limited
MUFG Capital Finance 6 Limited
MUFG Capital Finance 3 Limited
MUFG Capital Finance 9 Limited
MUFG Capital Finance 9 Limited GOLDEN ASIA FUND, L.P. GOLDEN ASIA FUND, L.P.
DCS Information Technology (Shanghai) Co., Ltd
Purple Finance (Cayman) International Ltd.
Lion Rock Lease Co., Ltd. Lion Rock Lease Co., Ltd.
Bangkok Mitsubishi UFJ Lease Co., Ltd.
California First Advisory Services
California First Capital Management
California First Corporation Union Capital Advisors, Inc. Inland Valley Bancorp The California-Sansome Corporation
ANNEXURE "B"
This is Annexure "B" of 7 pages referred to in the Form 603 (Notice of Initial Substantial Holder), signed by me and dated 7 May 2015.
Signed: Mr. Masaya Fujimolo
| Schedule | Master Securities Loan Agreement |
|---|---|
| Type of Agreement | |
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and Citibank NA |
| Transfer Date | 20150427; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | Yee/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Yes/No | |
| Does the borrower have the right to return 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 |
| unless Borrower and Lender agree to the contrary, be the third Business Day following such notice. | 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 non- cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, |
| Does the lender have the right to recall early? | YesAle |
| unless Borrower and Lender agree to the contrary, be the third Business Day following such notice. | 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 non- cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, |
| Will the securities be returned on settlement? | YesAle |
| 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 west of the purchase price for such Replacement Securities. In the event the Lender exercises such rights, the |
ė against the payment of the purchase price for such Replacement Securities. In
| Schedule | Master Securities Loan Agreement | |
|---|---|---|
| Type of Agreement | ||
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and The Northern Trust Company 20150326; 20150317; 20150324; |
|
| Transfer Date | 20150312; 20150313; 20150330; 20150401; 20150423; 20150428; |
|
| 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 non- cash 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? | 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 non- cash 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? | Yes/Ne | |
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 s
| Schedule | Master Securities Loan Agreement |
|---|---|
| Type of Agreement | |
| Morgan Stanley & Co. LLC, MS Securities Services Inc. and | |
| Parties to agreement | BlackRock Institutional Trust Company NA as agent or trustee on |
| behalf of various funds and accounts 20150409 20150313. |
|
| 20150305; 20150306; 20150303: |
|
| Transfer Date | 20150415; 20150423; 20150430; |
| Borrower | |
| Holder of Voting Rights | Yes/No |
| Are there any restrictions on voting rights? | |
| If yes, detail Not applicable | Open |
| Scheduled Return Date (if any) | |
| 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 non- | |
| cash 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. | |
| YesAle | |
| 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 non- |
|
| unless Borrower and Lender agree to the contrary, be the third Business Day following such notice. | cash Collateral securing the Loan (in the case of a notice given by Borrower) entered into at the time of such notice, which date shall, |
| 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 | Customer Prime Broker Account Agreement | |
|---|---|---|
| Type of Agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley | |
| Parties to agreement | entities and AXEL BALANCED, LP 20141229; |
|
| 20141103; 20141118; 20141128; 20141223; | ||
| Transfer Date | 20150115; 20150206; 20150220; 20150302; | |
| Morgan Stanley | ||
| Holder of Voting Rights | No | |
| Are there any restrictions on voting rights? | ||
| If yes, detail Not applicable | Open | |
| Scheduled Return Date (if any) | ||
| Yes. | ||
| Does the borrower have the right to return early? | ||
| If yes, detail Morgan Stanley may return rehypothecated shares at any time. | ||
| Does the lender have the right to recall early? | ||
| If yes, detail The customer may recall shares from Morgan Stanley at any time. | ||
| 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 | Global Master Securities Lending Agreement | Citibank NA | |||
|---|---|---|---|---|---|
| ' Type of Agreement | I Morgan Stanley & Co. International pic and U. | 20150210 | 20150217: | 20150218; | |
| Parties to agreement | 20150130; | 20150206; 20150226; |
20150303. | 20150310; | 20150311; |
| Transfer Date | 20150225; | 20150318; | 20150324: | 20150325; | 20150326; |
| 20150313; 20150327: |
20150330. | 20150402: | 20150409; | 20150413; |
| 20150422; $20150416$ ; 20150417; 20150420; 20150421; 20150427; 20150428; 20150429; 20150430; |
|
|---|---|
| Holder of Voting Rights Are there any restrictions on voting rights? |
Borrower Yes/No |
| If yes, detail Not applicable Scheduled Return Date (if any) |
Open |
| Does the borrower have the right to return early? outstanding to the Lender in accordance with the Lender's instructions. |
YesAlo If yes, detail The Borrower is entitled at any time to terminate a Loan and to redeliver all and any Equivalent Securities due and |
| Does the lender have the right to recall early? | Yes/Ne If yes, detail The Lender is entitled to terminate a Loan and to 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 Loaned Securities were originally delivered. Will the securities be returned on settlement? |
Yes/Ne |
| may by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. | If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender |
| Schedule | Global Master Securities Lending Agreement | |
|---|---|---|
| Type of Agreement | Morgan Stanley & Co. International plc and NORGES BANK | |
| Parties to agreement | ||
| Transfer Date | 20150427; | |
| Borrower | ||
| Holder of Voting Rights | Yes/No | |
| Are there any restrictions on voting rights? | ||
| If yes, detail Not applicable | Open | |
| Scheduled Return Date (If any) | ||
| Does the borrower have the right to return early? | Yes/Ne | |
| If yes, detail The Borrower is entitled at any time to terminate a Loan 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? | Yes/No | |
| If yes, detail The Lender is entitled to terminate a Loan and to 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 Loaned Securities were originally delivered. | ||
| YesAle | ||
| Will the securities be returned on settlement? | ||
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender may by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. |
||
$\bar{\mathbf{v}}$
| Schedule | ||
|---|---|---|
| Type of Agreement | Overseas Securities Lender's Agreement | |
| Parties to agreement | Morgan Stanley & Co. International pic and RBC INVESTOR | |
| SERVICES TRUST | ||
| 20150410; 20150422; 20150423; 20150428; | ||
| Transfer Date | Each Party undertakes that where it holds securities of the same | |
| Holder of Voting Rights | 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? | YesAlo | |
| If yes, detail As stated above. | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? | YesANe | |
| 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? | Yes/No | |
| 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? | YesAle | |
| 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 | Global Master Securities Lending Agreement |
|---|---|
| Type of Agreement | Morgan Stanley & Co. International plc and STATE BOARD OF |
| Parties to agreement | ADMINISTRATION OF FLORIDA 20150127 |
| 20150123. 20150122; 20150121; 20150120; 20150427: |
|
| Transfer Date | 20150216; 20150130; 20150129; 20150128; |
| 20150430; | |
| Borrower | |
| Holder of Voting Rights | Yes/No |
| Are there any restrictions on voting rights? | |
| If yes, detail Not applicable | Open |
| Scheduled Return Date (If any) | |
| If yes, detail The Borrower is entitled at any time to terminate a Loan and to redeliver all and any Equivalent Securities due and | |
| outstanding to the Lender in accordance with the Lender's instructions. | |
| Yes/No | |
| If yes, detail The Lender is entitled to terminate a Loan and to 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 Loaned Securities were originally delivered. | |
| If yes, detail any exceptions If the Borrower does not redeliver Equivalent Securities in accordance with the Agreement, the Lender | |
| may by written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereof. | |
| Schedule | Overseas Securities Lender's Agreement | |
|---|---|---|
| Type of Agreement | Morgan Stanley & Co. International plc and UBS AG | |
| Parties to agreement | 20150311. | |
| Transfer Date | Each Party undertakes that where it holds securities of the same | |
| Holder of Voting Rights | 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). | ||
| YesAlo | ||
| Are there any restrictions on voting rights? | ||
| If yes, detail As stated above. | Open | |
| Scheduled Return Date (if any) | ||
| Yes/No | ||
| Securities due and outstanding to the Lender in accordance with the Lender's instructions. | If yes, detail The Borrower is entitled at any time to terminate a particular loan of Securities and to redeliver all and any Equivalent | |
| 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. | 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 Parties to agreement |
International Prime Brokerage Agreement Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and AMP CAPITAL ASIA QUANT FUND |
|---|---|
| Transfer Date Holder of Voting Rights |
20141103; 20141114; 20150209; 20150304; 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? If yes, detail Not applicable Scheduled Return Date (if any) |
Yee/No Open |
| Does the borrower have the right to return early? | YesAle |
$\sim$ $\sim$
٦
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. |
|---|
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. |
| 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 |
| $^{\prime}$ 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. |
$\mathcal{A}^{\mathcal{A}}$
| Schedule | International Prime Brokerage Agreement | |
|---|---|---|
| Type of Agreement | Morgan Stanley & Co. International plc for itself and as agent and | |
| Parties to agreement | trustee for and on behalf of the other Morgan Stanley Companies | |
| and CC ASIA ABSOLUTE RETURN MASTER FUND LIMITED | ||
| 20150325 | ||
| Transfer Date | If prime broker has settled a short sale for the client, voting rights | |
| Holder of Voting Rights | will pass to the purchaser of the securities. | |
| Yee/No | ||
| Are there any restrictions on voting rights? | ||
| If yes, detail Not applicable | ||
| Scheduled Return Date (if any) | Open | |
| Does the borrower have the right to return early? If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. |
YesAle | |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | ||
| 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 | International Prime Brokerage Agreement |
|---|---|
| Type of Agreement | Morgan Stanley & Co. International plc for itself and as agent and |
| Parties to agreement | trustee for and on behalf of the other Morgan Stanley Companies |
| and TASMAN MARKET NEUTRAL FUND 20150410. |
|
| 20150320; 20150323; 20150330; 20150409; | |
| Transfer Date | 20150413; |
| If prime broker has settled a short sale for the client, voting rights | |
| Holder of Voting Rights | will pass to the purchaser of the securities. |
| Yes/No | |
| Are there any restrictions on voting rights? | |
| 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. | |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| 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 Parties to agreement |
International Prime Brokerage Agreement Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies |
|---|---|
| Transfer Date | and CERES CAPITAL PTY LTD 20150429; 20150428: 20150427. 20150311,20150423; 20150430; |
| 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? If yes, detail Not applicable |
Yes/No Open |
| Scheduled Return Date (if any) |
| YesAle |
|---|
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. |
| If yes, detail any exceptions Upon an Event of Detault, 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 |
| $^{\circ}$ 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 $_1$ |
| pavable. |
| Schedule | Australian Master Securities Lending Agreement Morgan Stanley Australia Securities Limited and WESTPAC |
|---|---|
| Type of Agreement | |
| Parties to agreement | BANKING CORPORATION 20150423. $20150421$ ; $20150306$ ; |
| 20150302, 20150303; | |
| Transfer Date | 20150427; 20150428; |
| Borrower | |
| Holder of Voting Rights | Yes/No |
| Are there any restrictions on voting rights? | |
| If yes, detail Not applicable | Open |
| Scheduled Return Date (if any) | |
| If yes, detail The Borrower shall be 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. |
|
| 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 or the equivalent time on the exchange or in the |
|
| clearing organisation through which the relevant borrowed Securities were originally delivered. | |
| 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 and on the basis of the Relevant Values so established, an account | |
| shall be taken of what is due from each Party to the other and 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 | Customer Prime Broker Account Agreement |
|---|---|
| Type of Agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley entities and GEODE GLOBAL DYNAMIC MARKET NEUTRAL |
| Parties to agreement | |
| FUND, A SEGREGATED ACCOUNT OF GEODE CAPITAL | |
| MASTER FUND LTD | |
| 20150430; | |
| Transfer Date | Morgan Stanley |
| Holder of Voting Rights | No |
| Are there any restrictions on voting rights? | |
| If yes, detail Not applicable | |
| Open | |
| Scheduled Return Date (if any) | |
| Yes | |
| Does the borrower have the right to return early? If yes, detail Morgan Stanley may return rehypothecated shares at any time. |
|
| Does the lender have the right to recall early? If yes, detail The customer may recall shares from Morgan Stanley at any time. |
|
| 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 | Customer Prime Broker Account Agreement |
|---|---|
| Type of Agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley entities and MCM OFFSHORE ALPHAMATRIX MASTER FUND |
| $\overline{\phantom{a}}$ Parties to agreement | |
| LTD | |
| 20150430; | |
| Transfer Date | ` Morgan Stanley |
| Holder of Voting Rights | No |
| Are there any restrictions on voting rights? | |
| If yes, detail Not applicable | Open |
| Scheduled Return Date (if any) | |
| Does the borrower have the right to return early? | Yes |
|---|---|
| If yes, detail Morgan Stanley may return rehypothecated shares at any time. | |
| Does the lender have the right to recall early? | |
| If yes, detail The customer may recall shares from Morgan Stanley at any time. | |
| If yes, detail any exceptions In the ordinary course of business, securities will be returned to customers. Upon a customer Event of | |
| $^\prime$ Default, Morgan Stanley has the right to set off obligations owed to the customer against obligations of the customer to Morgan Stanley $_\parallel$ | |
| and to foreclose on any collateral, including rehypothecated securities, for the purpose of arriving at a single closeout amount. In such | |
| a def ault scenario, Morgan Stanley may do an actual or deemed sale of the rehypothecated securities. | |
$\bar{1}$
| Schedule | Customer Prime Broker Account Agreement |
|---|---|
| Type of Agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley |
| Parties to agreement | entities and MCM GLOBAL EQUITYALPHA OFFSHORE |
| MASTER FUND, LTD. | |
| 20150430; | |
| Transfer Date | Morgan Stanley |
| Holder of Voting Rights | No |
| Are there any restrictions on voting rights? | |
| If yes, detail Not applicable | Open |
| Scheduled Return Date (if any) | |
| Yes: | |
| Does the borrower have the right to return early? | |
| If yes, detail Morgan Stanley may return rehypothecated shares at any time. | |
| Does the lender have the right to recall early? | |
| If yes, detail The customer may recall shares from Morgan Stanley at any time. | |
| 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. | |
÷,
$\bar{z}$