AI assistant
WORLEY LIMITED Major Shareholding Notification 2015
66073_rns_2015-04-29_c0068125-01b0-4c85-9488-c922aaaaf51a.pdf
Major Shareholding Notification
Open in viewerOpens in your device viewer
MITSUBISHI-UFJ FINANCIAL GROUP
FACSIMILE TRANSMISSION HEADER
| DATE OF MESSAGE: 14/30/2015 |
MESSAGE NO: | NUMBER OF PAGES INCLUDING COVER PAGE: 16 |
|---|---|---|
| TO: ASX Market Announcements Office FAX NO. (61) 2 9347 0005 |
CC: | |
| FROM: MITSUBISHI-UFJ FINANCIAL GROUP FAX NO. 81-3-6214-6367 |
Corporate Administration Department (Attn: YOSHIDA) |
TEL NO 81-3-6214-6626 |
| RE: Submission of FORM 605 |
We hereby submit Form 605 as attached.
Best regards,
Yasutoshi Yoshida TEL: 81-3-6214-6626 e-mail: [email protected]
$\frac{1}{\sqrt{2}}$
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 605
Corporations Act 2001
Section 671B
Notice of ceasing to be a substantial holder
| To Company Name/Scheme | WORLEYPARSONS LIMITED | ||
|---|---|---|---|
| ACN/ARSN | 096 090 158 | ||
| 1. Details of substantial holder (1) | |||
| Name | Mitsubishi UFJ Financial Group, Inc. | ||
| ACN/ARSN (if applicable) | Not Applicable | ||
| The holder ceased to be a | |||
| substantial holder on | 27 April 2015 | ||
| The previous notice was given to the company on | 18 March 2015 | ||
| The previous notice was dated | 13 March 2015 | ||
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest (2) of the substantial holder or an associate (3) in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
| Date of change |
relevant interest whose Person changed |
Nature of change (4) | Consideration given in relation to change (5) |
Class (6) and number of Securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 16 March | entity controlled by | ||||
| 2015 | Morgan Stanley | 9.9507 | 200,201 Ordinary Shares | 200,201 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 16 March | controlled by Morgan | ||||
| 2015 | Stanley | 9.2209 | -105,942 Ordinary Shares | $-105,942$ | |
| Milsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 16 March | entity controlled by | ||||
| 2015 | Morgan Stanley | 9.9651 | 106 891 Ordinary Shares | 106.891 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 16 March | controlled by Morgan Stanley |
9.2473 | -34,694 Ordinary Shares | $-34.694$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Borrow by an enlity | |||
| 16 March | controlled by Morgan | ||||
| 2015 | Stanley (see Annexure A) | N/A | 55,000 Ordinary Shares | 55,000 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 16 March | entity controlled by | 7.5868 (ADR - in | |||
| 2015 | Morgan Stanley | USD) | 60 American Depositary Receipts | 60 | |
| Milsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 17 March | controlled by Morgan | ||||
| 2015 | Stanley | 9,7692 | -105,942 Ordinary Shares | $-105,942$ | |
| Mitsubishi UFJ Financial Group, Inc. | Borrow by an entity | ||||
| 17 March | controlled by Morgan | ||||
| 2015 | Stanley (see Annexure A) | N/A | 114,761 Ordinary Shares | 114,761 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 17 March | entity controlled by | ||||
| 2015 | Morgan Stanley | 10.0603 | 79,393 Ordinary Shares | 79,393 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entily | ||||
| 17 March | controlled by Morgan | ||||
| 2015 | Stanley | 9.7423 | -271,327 Ordinary Shares | $-271,327$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 17 March | entity controlled bv |
9.9883 | 3.062 | ||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Purchase of shares by an |
3,062 Ordinary Shares | ||
| 17 March | entity controlled bγ |
7.6268 (ADR - in | |||
| 2015 | Morgan Stanley | USD) | 250 American Depositary Receipts | 250 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 18 March | controlled entity bv |
||||
| 2015 | Morgan Stanley | 9.7648 | 57,347 Ordinary Shares | 57,347 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an enlity | ||||
| 18 March | controlled by Morgan | ||||
| 2015 | Stanley | 10.1053 | -53 006 Ordinary Shares. | -53.006. |
| Consideration | Person's | ||||
|---|---|---|---|---|---|
| Date of change |
relevant Interest Person whose changed |
Nature of change (4) | given in relation to change (5) |
Class (6) and number of Securities affected |
votes affected |
| 18 March | Mitsubishi UFJ Financial Group, Inc. | Borrow by an entity controlled by Morgan |
N/A | 130,224 Ordinary Shares | 130,224 |
| 2015 | Milsubishi UFJ Financial Group. Inc. | Stanley (see Annexure A) Borrow returned to an |
|||
| entity controlled by | |||||
| 18 March | Morgan Stanley (see | ||||
| 2015 | Annexure A) | N/A | -89,809 Ordinary Shares | -89.809 | |
| 18 March | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by |
|||
| 2015 | Morgan Stanley | 9.7570 | 181,869 Ordinary Shares | 181,869 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
||||
| 18 March 2015 |
Stanley | 10.0832 | -215,023 Ordinary Shares | $-215,023$ | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 18 March | controlled by Morgan | ||||
| 2015 | Stanley | 9.9882 | -13,335 Ordinary Shares | $-13.335$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by |
||||
| 19 March 2015 |
Morgan Stanley | 10,0019 | 48,270 Ordinary Shares | 48,270 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entily | ||||
| 19 March | controlled by Morgan | ||||
| 2015 | Stanley | 9.9139 | -1.435 Ordinary Shares | -1,435 | |
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | ||||
| entity controlled by | |||||
| 19 March | Morgan Stanley (see Annexure A) |
N/A. | -16,412 Ordinary Shares | $-16412$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | |||
| 19 March | entity controlled by | ||||
| 2015 | Morgan Stanley | 9.9804 | 121,944 Ordinary Shares | 121,944 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 19 March | controlled by Morgan | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Purchase of shares by an |
9.9416 | -172.004 Ordinary Shares | $-172,004$ |
| 20 March | entity controlled bγ. |
||||
| 2015 | Morgan Stanley | 10.0300 | 3,077 Ordinary Shares | 3,077 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 20 March | entity controlled by. |
||||
| 2015 | Morgan Stanley | 10.0444 | 175,538 Ordinary Shares | 175,538 | |
| 20 March | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
|||
| 2015 | Stanley | 10.0714 | -121,944 Ordinary Shares | $-121,944$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 23 March | entity controlled by | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity |
10.1291 | 141,469 Ordinary Shares | 141,469 |
| 23 March | controlled by Morgan | ||||
| 2015 | Stanley | 9.7623 | -187,340 Ordinary Shares | $-187,340$ | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 23 March 2015 |
controlled by Morgan Stanley |
9.9200 | 2,226 Ordinary Shares | $-2,226$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 23 March | entity controlled b٧ |
||||
| 2015 | Morgan Stanley Purchase of shares by an |
10.1156 | 2,555 Ordinary Shares | 2.555 | |
| 24 March | Mitsubishi UFJ Financial Group, Inc. | controlled entitv by |
|||
| 2015 | Morgan Stanley | 10.1793 | 51.775 Ordinary Shares | 51.775 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 24 March | controlled by Morgan Stanley |
9.9922 | -105,900 Ordinary Shares | $-105,900$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | |||
| entity controlled by | |||||
| 24 March | Morgan Stanley (see | N/A | 458,535 | ||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Annexure A) Borrow returned to an |
-458,535 Ordinary Shares | ||
| entity controlled by | |||||
| 24 March | Morgan Stanley (see | ||||
| 2015 | Annexure A) | N/A | -30,000 Ordinary Shares | -30 000 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 24 March | entily controlled by | 10.1768 | 171,719 Ordinary Shares | 171,719 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity |
|||
| 24 March | controlled by Morgan | ||||
| 2015 | Stanley | 9.9935 | -92,354 Ordinary Shares | $-92.354$ | |
| 24 March | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
|||
| 2015 | Stanley | 9.9568 | -13.111 Ordinary Shares | $-13111$ | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 24 March 2015 |
controlled by Mitsubishi UFJ Trust and Banking |
$10.12$ | -570 Ordinary Shares | $-570$ | |
| Date of change |
Interest Person whose relevant changed |
Nature of change (4) | Consideration given in relation to change (5) |
Class (6) and number of Securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| Corporation | |||||
| 25 March | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by |
|||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity |
10.0937 | 70,861 Ordinary Shares | 70.861 |
| 25 March 2015 |
controlled by Morgan Stanley |
10,0300 | -816,369 Ordinary Shares | $-816,369$ | |
| 25 March 2015 |
Milsubishi UFJ Financial Group, Inc. | Borrow by entity an controlled by. Morgan Stanley (see Annexure A) |
N/A | 1,011,621 Ordinary Shares | 1,011,62 |
| 25 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | by Borrow entity an controlled by Morgan Stanley (see Annexure A) |
N/A | 96,451 Ordinary Shares | 96,451 |
| 25 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by Morgan Stanley |
10.1211 | 70,257 Ordinary Shares | |
| 25 March | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
70,257 | ||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Purchase of shares by an |
10.0388 | -535,443 Ordinary Shares | $-535.443$ |
| 25 March 2015 |
entity controlled bу Morgan Stanley |
7.8233 (ADR - in USD) |
150 American Depositary Receipts | 150 | |
| 26 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled bγ Morgan Stanley |
9.9132 | 29,745 Ordinary Shares | 29,745 |
| 26 March | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
|||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Borrow returned to an entity controlled by |
10.0983 | -105,900 Ordinary Shares | $-105,900$ |
| 26 March 2015 |
Morgan Stanley (see Annexure A) |
N/A | -3,933 Ordinary Shares | $-3.933$ | |
| 26 March | Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an entity controlled by Morgan Stanley (see |
|||
| 2015 | Annexure A) | N/A | -15,000 Ordinary Shares | $-15,000$ | |
| 26 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by Morgan Stanley |
9.8609 | 333,700 Ordinary Shares | 333 700 |
| 26 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
10.1123 | -208,101 Ordinary Shares | $-208,101$ |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Mitsubishi |
||||
| 26 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | UFJ Trust and Banking Corporation Purchase of shares by an |
9.87 | -1,000 Ordinary Shares | $-1.000$ |
| 27 March 2015 |
entity controlled by Morgan Stanley |
10.0900 | 197 Ordinary Shares | 197 | |
| 27 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
10.1553 | -105,889 Ordinary Shares | $-105,889$ |
| 27 March | Mitsubishi UFJ Financial Group, Inc. | Borrow by an entity controlled bv Morgan |
|||
| 2015 | Stanley (see Annexure A) | N/A | 6,971 Ordinary Shares | 6,971 | |
| 27 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Borrow bγ an entity controlled by Morgan Stanley (see Annexure A) |
N/A | 107 Ordinary Shares | 107 |
| 27 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by Morgan Stanley |
9.8874 | 217,153 Ordinary Shares | 217, 153 |
| 27 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
10.1793 | ||
| 27 March | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by. |
-130,782 Ordinary Shares | -130,782 | |
| 2015 27 March |
Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Purchase of shares by an entitv controlled bγ |
10.0095 7.5966 (ADR - in |
63,074 Ordinary Shares | 63.074 |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Purchase of shares by an |
USD) | 185 American Depositary Receipts | 185 |
| 30 March 2015 |
entily controlled by. Morgan Stanley |
9.3985 | 28.061 Ordinary Shares | 28,061 | |
| 30 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
10.0634 | -1,722 Ordinary Shares | $-1,722$ |
| 30 March 2015 |
Mitsubishi UFJ Financial Group, Inc. | by i Borrow entity an. controlled by Morgan |
N/A 29 967 Ordinary Shares | 29.967 |
| Consideration | Person's | ||||
|---|---|---|---|---|---|
| Date of | relevant interest Person whose |
Nature of change (4) | given in relation to | Class (6) and number of | votes |
| change | changed | change (5) | Securities affected | affected | |
| Stanley (see Annexure A) | |||||
| Mitsubishi UFJ Financial Group, Inc. | entity by Borrow an |
||||
| 30 March | Morgan controlled bу |
||||
| 2015 | Stanley (see Annexure A) | N/A | 41,119 Ordinary Shares | 41,119 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 30 March | entity controlled by | 9,3492 | 171,655 Ordinary Shares | 171 655 | |
| 2015 | Morgan Stanley | ||||
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
||||
| 30 March | Stanley | 10.1097 | -189,934 Ordinary Shares | -189,934 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | |||
| 31 March | entity controlled by | ||||
| 2015 | Morgan Stanley | 9.4886 | 51,823 Ordinary Shares | 51,823 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 31 March | controlled by Morgan | $-1,325$ | |||
| 2015 | Stanley | 9.6916 | -1,325 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | ||||
| entity controlled by Morgan Stanley (see |
|||||
| 31 March | Annexure A) | N/A | -107 Ordinary Shares | $-107$ | |
| 2015 | Milsubishi UFJ Financial Group, Inc. | Purchase of shares by an | |||
| 31 March | entity controlled by | ||||
| 2015 | Morgan Stanley | 9,5458 | 65,760 Ordinary Shares | 65,760 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 31 March | controlled by Morgan | ||||
| 2015 | Stanley | 9,8838 | -104,978 Ordinary Shares | $-104,978$ | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 31 March | controlled by Morgan Stanley |
9.6398 | -24,611 Ordinary Shares | $-24,611$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | |||
| 31 March | controlled by. entity |
7.2196 (ADR - in | |||
| 2015 | Morgan Stanley | USD) | 50 American Depositary Receipts | 50 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 1 April | controlled Ьγ entity |
||||
| 2015 | Morgan Stanley | 9.4060 | 120,921 Ordinary Shares | 120,921 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 1 April | controlled by Morgan | 9.8990 | -2,693 Ordinary Shares | $-2,693$ | |
| 2015 | Stanley Borrow returned to an |
||||
| Mitsubishi UFJ Financial Group, Inc. | entity controlled by | ||||
| 1 April | Morgan Stanley (see | ||||
| 2015 | Annexure A) | N/A | -65,997 Ordinary Shares | -65,997 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 1 April | entity controlled by | ||||
| 2015 | Morgan Stanley | 9.3746 | 80,081 Ordinary Shares | 80.081 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 1 April | controlled by Morgan | 99035 | -62,534 Ordinary Shares | $-62,534$ | |
| 2015 | Stanley Sale of shares by an entity |
||||
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan | ||||
| 1 April 2015 |
Stanley | 9.3690 | -94,761 Ordinary Shares | $-94,761$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 2 April | entity controlled by | ||||
| 2015 | Morgan Stanley | 9.2782 | 65,592 Ordinary Shares | 65,592 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entily | ||||
| 2 April | controlled by Morgan Stanley |
9.3573 | -172,744 Ordinary Shares | $-172.744$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | |||
| entity controlled by | |||||
| 2 April | Morgan Stanley (see | ||||
| 2015 | Annexure A) | N/A | -199,580 Ordinary Shares | $-199.580$ | |
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | ||||
| entity controlled by | |||||
| 2 April | Morgan Stanley (see Annexure A) |
N/A | -96,451 Ordinary Shares | $-96,451$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | |||
| entity controlled by | |||||
| 2 April 2015 |
Morgan Stanley | 9,2942 | 185 529 Ordinary Shares | 185,529 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 2 April | controlled by Morgan | ||||
| 2015 | Stanley | 9,3558 | -57,769 Ordinary Shares | -57,769 | |
| Milsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 2 April | entity controlled by | 7.072 (ADR - in USD) |
25 American Depositary Receipts | 25 | |
| 2015 | Morgan Stanley Sale of shares by an entity |
||||
| Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan | ||||
| 7 April 2015 |
Stanley | 9.5550 | -26,481 Ordinary Shares | $-26,481$ | |
'15年04月30日 (木) 13時05分 宛先:001061293470005
発信:三菱UFJ信託銀行IS事業部
$\frac{1}{2}$ .
| Date of change |
Person whose relevant interest changed |
Nature of change (4) | Consideration given in relation to change (5) |
Class (6) and number of Securities affected |
Person's votes |
|---|---|---|---|---|---|
| Mitsubishi UFJ Financial Group. Inc. | Borrow returned to an | affected | |||
| entity controlled by | |||||
| 7 April 2015 |
Morgan Stanley (see Annexure A) |
N/A | -6,040 Ordinary Shares | $-6.040$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 7 April | entity controlled by | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity |
9,5783 | 81.877 Ordinary Shares | 61,877 |
| 7 April | controlled by Morgan | ||||
| 2015 | Stanley | 9.5306 | -99,357 Ordinary Shares | 99,357 | |
| 7 April | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
|||
| 2015 | Stanley | 9.5627 | -3,711 Ordinary Shares | $-3,711$ | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 7 April 2015 |
controlled by Morgan Stanley |
9.5700 | -517 Ordinary Shares | $-517$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 8 April | entity controlled by | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Borrow returned to an |
9.9400 | 821 Ordinary Shares | 321 |
| entity controlled by | |||||
| 8 April 2015 |
Morgan Stanley (see Annexure A) |
N/A | -7,030 Ordinary Shares | $-7,030$ | |
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | ||||
| entity controlled by | |||||
| 8 April 2015 |
Morgan Stanley (see Annexure A) |
N/A | -519 Ordinary Shares | $-519$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 8 April | entity controlled by | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity |
9.8636 | 116,798 Ordinary Shares | 116,798 |
| 8 April | controlled by Morgan | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Purchase of shares by an |
9.4666 | -141,395 Ordinary Shares | $-141,395$ |
| 3 April | entity controlled by | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity |
9.6500 | 162 Ordinary Shares | 162 |
| 3 April | controlled by Morgan | ||||
| 2015 | Stanley | 9.6100 | -529 Ordinary Shares | -529 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Mitsubishi |
||||
| 3 April | UFJ Asset Management | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Co., Lld. Purchase of shares by an |
9.8705 | $-8,300$ | $-8,300$ |
| 9 April | entity controlled by | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Borrow returned to an |
9.7629 | 9,460 Ordinary Shares | 9,460 |
| entity controlled by | |||||
| 9 April 2015 |
Morgan Stanley (see Annexure A) |
N/A | |||
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | -56,589 Ordinary Shares | $-56,589$ | ||
| entity controlled by | |||||
| 9 April 2015 |
Morgan Stanley (see Annexure A) |
N/A | -50,989 Ordinary Shares | $-50.989$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 9 April 2015 |
entity controlled by Morgan Stanley |
9 7402 | 76 365 Ordinary Shares | 76,365 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 9 Apirl 2015 |
controlled by Morgan Stanley |
9.3035 | -69,410 Ordinary Shares | -69,410 | |
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | ||||
| entity controlled by | |||||
| 9 April 2015 |
Morgan Stanley (see Annexure A) |
N/A | -55,000 Ordinary Shares | $-55,000$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 9 April 2015 |
entity controlled by Morgan Stanley |
9.7648 | 2,440 Ordinary Shares | 2,440 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 9 April 2015 |
controlled by Morgan Stanley |
93104 | -1,514 Ordinary Shares | ||
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | $-1,514$ | |||
| 10 April 2015 |
entity controlled by Morgan Stanley |
||||
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | 9.6765 | 24,620 Ordinary Shares | 24,620 | |
| 10 April | controlled by Morgan | ||||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Borrow by an enlity |
95811 | -31,536 Ordinary Shares | $-31,536$ |
| 10 April | controlled by Morgan | ||||
| 2015 | Slanley (see Annexure A) | N/A 46,623 Ordinary Shares | 46.623 |
$\mathcal{A}^{\mathcal{A}}$
| Consideration | Class (6) and number of | Person's | |||
|---|---|---|---|---|---|
| Date of change |
interest whose relevant Person changed |
Nature of change (4) | given in relation to change (5) |
Securities affected | votes affected |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 10 April | entity controlled by Morgan Stanley |
9,6913 | 235,762 Ordinary Shares | 235,762 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | |||
| 10 April | controlled by Morgan | 9.5743 | -81,286 Ordinary Shares | $-81,286$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Slanley Purchase of shares by an |
|||
| 13 April | entity controlled by | ||||
| 2015 | Morgan Stanley | 9.7265 | 39,802 Ordinary Shares | 39.802 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
||||
| 13 April 2015 |
Stanley | 9,8835 | -9,460 Ordinary Shares | -9,460 | |
| Mitsubishi UFJ Financial Group, Inc. | entity Borrow by an |
||||
| 13 April | Morgan controlled b٧ Stanley (see Annexure A) |
N/A | 21,647 Ordinary Shares | 21 647 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | entity Borrow by an |
|||
| 13 April | controlled by Morgan |
N/A | 49,800 Ordinary Shares | 49,800 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley (see Annexure A) Purchase of shares by an |
|||
| 13 April | entity controlled by | ||||
| 2015 | Morgan Stanley | 97462 | 118,100 Ordinary Shares | 118.100 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of sheres by an entity controlled by Morgan |
||||
| 14 April 2015 |
Stanley | 9.8969 | -173,923 Ordinary Shares | -173,923 | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | 7.3478 (ADR - in | |||
| 13 April | controlled Ъy enlity Morgan Stanley |
USD) | 95 American Depositary Receipts | 95 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | |||
| 14 April | controlled entity bγ |
9,2532 | 112,133 Ordinary Shares | 112,133 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Purchase of shares by an |
|||
| 14 April | controlled entity b٧ |
||||
| 2015 | Morgan Stanley | 9.3156 | 319,367 Ordinary Shares | 319,367 | |
| 14 April | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
|||
| 2015 | Stanley | 9.7640 | -30,527 Ordinary Shares | $-30,527$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | 7.0854 (ADR - in | |||
| 14 April | entity controlled by Morgan Stanley |
USD) | 170 American Depositary Receipts | 170 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | |||
| entity controlled by | |||||
| 15 April 2015 |
Morgan Stanley (see Annexure A) |
N/A | -3.410 Ordinary Shares | $-3410$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 15 April | entity controlled by | 9,4645 | 248,119 Ordinary Shares | 248.119 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an enlity |
|||
| 15 April | controlled by Morgan | $-34.017$ | |||
| 2015 | Stanley Sale of shares by an entity |
9.6854 | -34,017 Ordinary Shares | ||
| 15 April | Mitsubishi UFJ Financial Group, Inc. | controlled by Morgan | |||
| 2015 | Stanley | 9,7400 | -1,467 Ordinary Shares | $-1.467$ | |
| Milsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | ||||
| 15 April 2015 |
controlled by Morgan Stanley |
9.7500 | -182 Ordinary Shares | $-132$ | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an | ||||
| 16 April | entity controlled by Morgan Stanley |
10.1053 | 29,362 Ordinary Shares | 29,362 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity | |||
| 16 April | controlled by Morgan | 9.7474 | -1,103 Ordinary Shares | $-1,103$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Borrow returned to an |
|||
| entity controlled by | |||||
| 16 April | Morgan Stanley (see | $-12,564$ | |||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Annexure A) Borrow returned to an |
N/A | -12,564 Ordinary Shares | |
| entity controlled by | |||||
| 16 April | Morgan Stanley (see | N/A | -49,800 Ordinary Shares | -49,800 | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Annexure A) Purchase of shares by an |
|||
| 16 April | entity controlled by | ||||
| 2015 | Morgan Stanley | 10.0203 | 161,500 Ordinary Shares | 161,500 | |
| Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan |
||||
| 16 April 2015 |
Stanley | 9.7200 | -45,375 Ordinary Shares | $-45.375$ | |
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an | ||||
| entity controlled by | |||||
| 17 April 004F |
Morgan Stanley (see Annexure A) |
N/A 303,643 Ordinary Shares | $-303,643$ |
| Date of change |
whose Person relevant interest changed |
Nature of change (4) | Consideration given in relation to change (5) |
Class (6) and number of Securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| 17 April | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by |
|||
| 2015 17 April |
Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity controlled by Morgan |
11.0945 | 286,256 Ordinary Shares | 286,256 |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Purchase of shares by an |
9.3209 | -67,857 Ordinary Shares | -67.857 |
| 20 April 2015 |
entily controlled by Morgan Stanley |
10 5134 | 53,285 Ordinary Shares | 53.285 | |
| 20 April 2015 |
Milsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
9.4622 | -14,681 Ordinary Shares | $-14.681$ |
| 20 April | Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an entity controlled by Morgan Stanley (see |
|||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Annexure A) Purchase of shares by an |
N/A | -192,172 Ordinary Shares | $-192, 172$ |
| 20 April 2015 |
entity controlled by Morgan Stanley |
10.5594 | 237,427 Ordinary Shares | 237,427 | |
| 20 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entily controlled by Morgan Stanley |
94848 | -70,355 Ordinary Shares | -70 355 |
| 21 April | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by |
|||
| 2015 21 April |
Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity controlled by Morgan |
10.7047 | 11,107 Ordinary Shares | 11,107 |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Borrow returned to an |
9.9969 | -6,292 Ordinary Shares | $-6,292$ |
| 21 April 2015 |
entity controlled by Morgan Stanley (see |
N/A | |||
| 21 April | Mitsubishi UFJ Financial Group, Inc. | Annexure A) Purchase of shares by an entity controlled by |
-100,243 Ordinary Shares | $-100,243$ | |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an entity |
10.7045 | 54,010 Ordinary Shares | 54,010 |
| 21 April 2015 |
controlled by Morgan Stanley |
10.0178 | -172,720 Ordinary Shares | $-172,720$ | |
| 22 April 2015 |
Mitsubishi UFJ Financial Group. Inc. | Purchase of shares by an entity controlled by Morgan Stanley |
10.9464 | 98.796 Ordinary Shares | 96.796 |
| 22 April | Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an entity controlled by Morgan Stanley (see |
|||
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Annexure A) Purchase of shares by an |
N/A | -191,438 Ordinary Shares | -191,438 |
| 22 April 2015 |
entity controlled by Morgan Stanley |
10.9350 | 74,362 Ordinary Shares | 74,362 | |
| 22 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
11.0294 | -526,173 Ordinary Shares | |
| Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by |
$-526,173$ | |||
| 22 April 2015 |
Mitsubishi UFJ Trust and Banking Corporation |
10.98 | 307 Ordinary Shares | 307 | |
| 23 April 2015 |
Milsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by Morgan Stanley |
11.2405 | 10,002 Ordinary Shares | 10,002 |
| Mitsubishi UFJ Financial Group, Inc. | Borrow returned to an entity controlled by |
||||
| 23 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley (see Annexure A) |
N/A | -16,013 Ordinary Shares | $-16,013$ |
| 23 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Interest arising from buying call option Borrow returned to an |
0.3199 | 234 Options | 23.400 |
| 23 April 2015 |
entity controlled by Morgan Stanley (see Annexure A) |
N/A | -7.517 Ordinary Shares | $-7,517$ | |
| 23 April | Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an entity controlled by |
|||
| 2015 23 April |
Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Sale of shares by an enlity controlled by Morgan |
11.2044 | 51.613 Ordinary Shares | 51,613 |
| 2015 | Mitsubishi UFJ Financial Group, Inc. | Stanley Purchase of shares by an |
10.6281 | -136.349 Ordinary Shares | $-136,349$ |
| 24 April 2015 |
entity controlled by Morgan Stanley |
11.5095 | 127,110 Ordinary Shares | 127,110 | |
| 24 April 2015 |
Milsubishi UFJ Financial Group, Inc. | Interest arising from buving call option |
$0.3544$ 90 Options | 9.000 |
| Date of change |
interest relevant whose Person changed |
Nature of change (4) | Consideration given in relation to change (5) |
Class (6) and number of Securities affected |
Person's votes affected |
|---|---|---|---|---|---|
| 24 April 2015 |
Mitsubishi UFJ Financial Group. Inc. | Purchase of shares by an entity controlled by Morgan Stanley |
11.5101 | 66,418 Ordinary Shares | 66,418 |
| 24 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
10.6980 | -253,946 Ordinary Shares | $-253,946$ |
| 24 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an controlled entity bγ Morgan Stanley |
11.5113 | 14,386 Ordinary Shares | 14,386 |
| 27 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Purchase of shares by an controlled bv entity Morgan Stanley |
11,8473 | 13,084 Ordinary Shares | 13.084 |
| 27 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | entity Borrow b٧ an, Morgan controlled bv Stanley (see Annexure A) |
N/A | 99,630 Ordinary Shares | 99,630 |
| 27 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | entity bν Borrow an Morgan controlled b٧ Stanley (see Annexure A) |
N/A | 88,366 Ordinary Shares | 88,366 |
| 27 April 2015 |
Mitsubishi UFJ Financial Group, tnc | Purchase of shares by an entity controlled by Morgan Stanley |
11,8408 | 72,869 Ordinary Shares | 72.369 |
| 27 April 2015 |
Mitsubishi UFJ Financial Group, Inc. | Sale of shares by an entity controlled by Morgan Stanley |
10.9195 | -322,980 Ordinary Shares | $-322,980$ |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
| . Name and ACN/ARSN (if applicable) |
Nature of association |
|---|---|
| Not applicable | Not applicable |
4. Addresses
The addresses of persons named in this form are as follows:
| Name | Address |
|---|---|
| Mitsubishi UFJ Financial Group, Inc | 2-7-1, Marunouchi, Chiyoda-ku, Tokyo 100-8330, Japan |
Signature
| print name Mr Masaya Fujimoto | capacity | Authorised Signatory | |
|---|---|---|---|
| sign here | ` | date | 30 April 2015 |
ANNEXURE "A"
This is Annexure "A" of 7 pages referred to in the Form 605 (Notice of Ceasing to be a Substantial Holder), signed by me and dated 30 April 2015.
Signed: Mr. Masaya Fujimoto
| Schedule | |
|---|---|
| Type of Agreement | Master Securities Loan Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and The Northern Trust Company |
| Transfer Date | 20150312; 20150313; 20150317; 20150324; 20150326; 20150330; 20150401, 20150423, |
| 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 Ale If yes, detail any exceptions Upon the occurrence of a Default entitling the Lender to terminate all Loans, the Lender has the right to purchase a like amount of Loaned Securities, to sell any Collateral and to apply and set off the Collateral and any proceeds thereof against the payment of the purchase price for such Replacement Securities. In the event the Lender exercises such rights, the Borrower's obligation to return a like amount of the Loaned Securities shall terminate.
| Schedule | |
|---|---|
| Type of Agreement | Master Securities Loan Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC, MS Securities Services Inc. and BlackRock Institutional Trust Company NA as agent or trustee on behalf of various funds and accounts |
| Transfer Date | 20150303; 20150305; 20150306; 20150313; 20150409; 20150415; 20150423, |
| 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 |
| 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, unless Borrower and Lender agree to the contrary, be the |
| $^{\prime}$ Does the lender have the right to recall early? $\,$ |
|---|
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the 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 /No | |
|---|---|---|
| If yes, detail any exceptions Upon the occurrence of a Default entitling the Lender to terminate all Loans, the Lender has the right to purchase a | ||
| like amount of Loaned Securities, to sell any Collateral and to apply and set off the Collateral and any proceeds thereof against the payment of the | ||
| purchase price for such Replacement Securities. In the event the Lender exercises such rights, the Borrower's obligation to return a like amount of | ||
| the Loaned Securities shall terminate. |
| Schedule | |
|---|---|
| Type of Agreement | Master Securities Loan 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? | ¥es∕No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes∕Wo and which we have a contribution of the contribution of . |
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.
Yes/No Does the lender have the right to recall early?
If yes, detail Either party may terminate a Loan on a termination date established by notice given to the other party prior to the Close of Business on a Business Day. The termination date established by a termination notice shall be a date no earlier than the standard settlement date that would apply to a purchase or sale of the Loaned Securities (in the case of a notice given by Lender) or the 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.
WIII the securities be returned on settlement?
Yes/No
If yes, detail any exceptions Upon the occurrence of a Default entitling the Lender to terminate all Loans, the Lender has the right to purchase a like amount of Loaned Securities, to sell any Collateral and to apply and set off the Collateral and any proceeds thereof against the payment of the purchase price for such Replacement Securities. In the event the Lender exercises such rights, the Borrower's obligation to return a like amount of the Loaned Securities shall terminate.
| Schedule | |
|---|---|
| Type of Agreement | Customer Prime Broker Account Agreement |
| Parties to agreement | Morgan Stanley & Co. LLC on behalf of all Morgan Stanley entities and |
| AXEL BALANCED, LP | |
| 20141103; 20141118; 20141128; 20141223; 20141229; 20150115; | |
| Transfer Date | 20150206; 20150220; 20150302; |
| Holder of Voting Rights | Morgan Stanley |
| Are there any restrictions on voting rights? | No. |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes: |
| If yes, detail Morgan Stanley may return rehypothecated shares at any time. | |
| Does the lender have the right to recall early? | Yes |
| If yes, detail The customer may recall shares from Morgan Stanley at any time. | |
| 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 | |
|---|---|
| Type of Agreement | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and Citibank NA |
| Transfer Date | 20150130; 20150206; 20150210; 20150217; 20150218; 20150225; |
| 20150226; 20150303; 20150310; 20150311; 20150313;20150318; | |
| 20150324; 20150325; 20150326; 20150327; 20150330; 20150402; | |
| 20150409; 20150413;20150416; 20150417; 20150420; 20150421; | |
| 20150422, 20150427; | |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | ¥es/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 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 ANo |
| 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/No |
| 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 | |
|---|---|
| Type of Agreement | Overseas Securities Lender's Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and RBC INVESTOR SERVICES TRUST |
| Transfer Date | 20150410; 20150422; 20150423; |
| Holder of Voting Rights | Each Party undertakes that where it holds securities of the same description as any securities borrowed by it or transferred to it by way of collateral at a time when a right to vote arises in respect of such securities, it will use its best endeavours to arrange for the voting rights attached to such securities to be exercised in accordance with the instructions of the Lender or Borrower (as the case may be). |
| Are there any restrictions on voting rights? | Yes Ale |
| If yes, detail As stated above. | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes Ale |
| 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 Securities due and |
| Does the lender have the right to recall early? | Yes Ale |
| the Lender's instructions. | 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 |
| Will the securities be returned on settlement? | Yes/No |
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 | Global Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc and STATE BOARD OF ADMINISTRATION OF FLORIDA |
| Transfer Date | 20150120; 20150121; 20150122; 20150123; 20150127; 20150128; 20150129; 20150130; 20150216; 20150427; |
| Holder of Voting Rights | Borrower |
| Are there any restrictions on voting rights? | ¥e⇔∕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 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. |
|
| Yes/No 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 | |
| a comparison to the continue of the protection of the comparison of children in respect thereof. |
written notice to Borrower terminate the Loan forthwith and the Parties' delivery and payment obligations in respect thereor
| Schedule | Global Master Securities Lending Agreement |
|---|---|
| Type of Agreement | |
| Parties to agreement | Morgan Stanley & Co. International plc and NORGES BANK |
| Transfer Date | 20150427; |
| 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 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. | |
| Will the securities be returned on settlement? | Yes /No |
| 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. |
$\bar{\alpha}$
| Schedule | |
|---|---|
| Overseas Securities Lender's Agreement | |
| Type of Agreement | Morgan Stanley & Co. International pic 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). | |
| Are there any restrictions on voting rights? | Yes/No |
| If yes, detail As stated above. | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes/No |
| 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 Ale |
| If yes, detail The Lender may call for the redelivery of all or any Equivalent Securities at any time by giving notice on any Business Day of not less than | |
| the standard settlement time for such Equivalent Securities on the exchange or in the clearing organisation through which the relevant borrowed | |
| Securities were originally delivered. The Borrower shall redeliver such Equivalent Securities not later than the expiry of such notice in accordance with | |
| the Lender's instructions. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions If an Event of Default occurs in relation to either Party, the Parties' delivery and payment obligations shall be | |
| accelerated so as to require performance thereof at the time such Event of Default occurs. In such event the Relevant Value of the Securities to be | |
| delivered by each Party shall be established in accordance with the Agreement and on the basis of the Relevant Values so established, the sums | |
| due from one Party shall be set-off against the sums due from the other and only the balance of the account shall be payable. | |
| Schedule | |
|---|---|
| Type of Agreement | 'International Prime Brokerage Agreement |
| Parties to agreement | 1 Morgan Stanley & Co. International pic for itself and as agent and 1 trustee for and on behalf of the other Morgan Stanley Companies and LAMP CAPITAL ASIA QUANT FUND |
٦
| Transfer Date | 20141103; 20141114; 20150209; 20150304; |
|---|---|
| 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? | ¥es/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes /No |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes/No |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amounts due from one |
party shall be set off against the amounts due from the other party and only the balance of the account shall be payable.
| Schedule | |
|---|---|
| Type of Agreement | International Prime Brokerage Agreement |
| Parties to agreement | Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and CC ASIA ABSOLUTE RETURN MASTER FUND LIMITED |
| Transfer Date | 20150325; |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will pass to the purchaser of the securities. |
| Are there any restrictions on voting rights? | Yes/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes/No |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes-Ale |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes /No |
| 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 |
| Schedule | ||
|---|---|---|
| Type of Agreement | Rahmenvertrag - German Master Agreement for Securities Loan Transactions |
|
| Parties to agreement | Morgan Stanley & Co. International plc and DWS CONCEPT-DWS CONCEPT KALDEMORGEN |
|
| Transfer Date | 20150427; | |
| 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 by notice given to the other party. The borrower must give notice of at least 1 Banking Day, | ||
| provided that the notice must be received by the recipient not later than 3pm local time on a Banking Day. | ||
| Yes/No | ||
| Does the lender have the right to recall early? | ||
| If yes, detail Either party may terminate a Loan by notice given to the other party. The lender must give notice of at least three Banking Days provided that the notice must be received by the recipient not later than 3pm local time on a Banking Day. |
||
| Will the securities be returned on settlement? | Yes/No | |
| If yes, detail any exceptions If the borrower fails to redeliver the loaned securities on the due date, and fails to redeliver upon notice of default by | ||
| lender, the lender may purchase securities of the same type, quality and amount for the account of the defaulting party and the non-defaulting party will claim reimbursement of the cost from the defaulting party. In the event the lender exercises such rights, the Borrower's obligation to return a like amount of the Loaned Securities shall terminate. Alternatively, upon insolvency of either party, the agreement will 'end without termination'. Claims for the delivery or redelivery of securities will cease and be replaced with a single claim following set-off of the parties' obligations to the other pursuant to this Agreement. |
| 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 CERES CAPITAL PTY LTD |
| Transfer Date | 20150311;20150423; 20150427; |
| Holder of Voting Rights | If prime broker has settled a short sale for the client, voting rights will pass to the purchaser of the securities. |
| Are there any restrictions on voting rights? | Yes/No |
| If yes, detail Not applicable | |
| Scheduled Return Date (If any) | Open |
| Does the borrower have the right to return early? | Yes /No |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes Alo |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and the having 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 |
on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amo
party shall be set off against the amounts due from the other party and only the balance of the acc
| 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 TASMAN MARKET NEUTRAL FUND |
| Transfer Date | 20150320; 20150323; 20150330; 20150409; 20150410; 20150413; |
| 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? | ¥e5∕No |
| If yes, detail Not applicable | |
| Scheduled Return Date (if any) | Open |
| Does the borrower have the right to return early? | Yes /No |
| If yes, detail At any time the client may return to the prime broker shares which the client previously sold short. | |
| Does the lender have the right to recall early? | Yes /No |
| If yes, detail The prime broker may require the client to return shares delivered on behalf of the client at any time. | |
| Will the securities be returned on settlement? | Yes /No |
| If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from each party to the other. The amounts due from one party shall be set off against the amounts due from the other party and only the balance of the account shall be payable. |
| Schedule | |
|---|---|
| Type of Agreement | Australian Master Securities Lending Agreement |
| Parties to agreement | Morgan Stanley Australia Securities Limited and WESTPAC BANKING |
| CORPORATION | |
| Transfer Date | 20150302; 20150303; 20150306; 20150421; 20150423; 20150427; |
| 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 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. | |
| Does the lender have the right to recall early? | Yes Alle |
| 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 or the equivalent time on the exchange or in the clearing organisation through | |
| which the relevant borrowed Securities were originally delivered. | Yes/No |
| Will the securities be returned on settlement? | |
| 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.
The above schedules are based on the relevant standard agreements. The entity filing the report will, if requested by the company or responsible entity to whom the prescribed form must be given or ASIC, give a copy of the agreement to the company, responsible entity or ASIC.