Form 603 | ||||||
Corporations Act 2001 | ||||||
Section 671B | ||||||
Notice of initial substantial holder | ||||||
To: Company Name/Scheme: | AVEO Group | |||||
ACN/ARSN: | 010 729 950 | |||||
1. Details of substantial holder | ||||||
Name | Mitsubishi UFJ Financial Group, Inc. | |||||
The holder became a substantial holder on: | 14 August 2019 | |||||
The holder became aware on: | 16 August 2019 | |||||
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 had a relevant interest in on the date the substantial holder became a substantial holder are as follows: | ||||||
Class of securities | Number of securities | Person's votes | Voting power (%) | |||
Fully Paid ordinary shares | 43,939,935 | 43,939,935 | 7.57% | |||
3. Details of relevant interests | ||||||
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 | Class and number of securities | ||||
Relevant interest in securities that Morgan Stanley | ||||||
has a relevant interest in under section 608(3) of | ||||||
Mitsubishi UFJ Financial Group, Inc. | the Corporations Act as Mitsubishi UFJ Financial | 947,941 | Fully paid ordinary shares | |||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Morgan Stanley | ||||||
has a relevant interest in under section 608(3) of | ||||||
Mitsubishi UFJ Financial Group, Inc. | the Corporations Act as Mitsubishi UFJ Financial | 1,372,543 | Fully paid ordinary shares | |||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Morgan Stanley | ||||||
Mitsubishi UFJ Financial Group, Inc. | has a relevant interest in under section 608(3) of | |||||
the Corporations Act as Mitsubishi UFJ Financial | 10,438 | Fully paid ordinary shares | ||||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Morgan Stanley | ||||||
has a relevant interest in under section 608(3) of | ||||||
Mitsubishi UFJ Financial Group, Inc. | the Corporations Act as Mitsubishi UFJ Financial | 49,893 | Fully paid ordinary shares | |||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Morgan Stanley | ||||||
Mitsubishi UFJ Financial Group, Inc. | has a relevant interest in under section 608(3) of | |||||
the Corporations Act as Mitsubishi UFJ Financial | 3,176,306 | Fully paid ordinary shares | ||||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Morgan Stanley | ||||||
Mitsubishi UFJ Financial Group, Inc. | has a relevant interest in under section 608(3) of | |||||
the Corporations Act as Mitsubishi UFJ Financial | 26,196,850 | Fully paid ordinary shares | ||||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Morgan Stanley | ||||||
Mitsubishi UFJ Financial Group, Inc. | has a relevant interest in under section 608(3) of | |||||
the Corporations Act as Mitsubishi UFJ Financial | 4,478 | Fully paid ordinary shares | ||||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Morgan Stanley | ||||||
Mitsubishi UFJ Financial Group, Inc. | has a relevant interest in under section 608(3) of | |||||
the Corporations Act as Mitsubishi UFJ Financial | 50,000 | Fully paid ordinary shares | ||||
Group, Inc. has voting power of over 20% in | ||||||
Morgan Stanley. | ||||||
Relevant interest in securities that Carol Australia | ||||||
Holdings Pty Limited has a relevant interest in | ||||||
Mitsubishi UFJ Financial Group, Inc. | under section 608(3) of the Corporations Act as | 1,822,477 Fully paid ordinary shares | ||||
Mitsubishi UFJ Financial Group, Inc. has voting | ||||||
power of 100% in Carol Australia Holdings Pty | ||||||
Limited. | ||||||
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Relevant interest in securities that Carol Australia | ||
Holdings Pty Limited has a relevant interest in | ||
Mitsubishi UFJ Financial Group, Inc. | under section 608(3) of the Corporations Act as | |
Mitsubishi UFJ Financial Group, Inc. has voting | 10,309,009 Fully paid ordinary shares | |
power of 100% in Carol Australia Holdings Pty | ||
Limited. | ||
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 | Registered holder of | Person entitled to be | Class and number of securities | |||||
interest | securities | registered as holder | ||||||
Mitsubishi UFJ Financial Group, Inc. | HSBC Custody Nominees | 4,478 | Fully paid ordinary | |||||
(Australia) Limited | shares | |||||||
Mitsubishi UFJ Financial Group, Inc. | HSBC Custody Nominees | 1,382,981 | Fully paid ordinary | |||||
(Australia) Limited | shares | |||||||
Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Australia | 29,423,049 | Fully paid ordinary | |||||
Securities (Nominee) Pty Limited | shares | |||||||
Mitsubishi UFJ Financial Group, Inc. | Morgan Stanley Wealth | Fully paid ordinary | ||||||
Management Australia Pty | 50,000 | |||||||
discretionary client account | shares | |||||||
Mitsubishi UFJ Financial Group, Inc. | Unknown | 947,941 | Fully paid ordinary | |||||
shares | ||||||||
Mitsubishi UFJ Financial Group, Inc. | Citibank N A Hong Kong | 1,252,377 | Fully paid ordinary | |||||
shares | ||||||||
Mitsubishi UFJ Financial Group, Inc. | Citicorp Nominees Pty Limited | Fully paid ordinary | ||||||
(Australia) | 570,100 shares | |||||||
Mitsubishi UFJ Financial Group, Inc. | Citibank N A Hong Kong | 5,492,095 | Fully paid ordinary | |||||
shares | ||||||||
Mitsubishi UFJ Financial Group, Inc. | Citicorp Nominees Pty Limited | 997,103 | Fully paid ordinary | |||||
(Australia) | shares | |||||||
Mitsubishi UFJ Financial Group, Inc. | HSBC Bank Australia Limited | 126,295 | Fully paid ordinary | |||||
shares | ||||||||
Mitsubishi UFJ Financial Group, Inc. | JP Morgan Chase Bank NA | 71,614 | Fully paid ordinary | |||||
shares | ||||||||
Mitsubishi UFJ Financial Group, Inc. | JPMorgan (UK) | 1,333,079 | Fully paid ordinary | |||||
shares | ||||||||
Mitsubishi UFJ Financial Group, Inc. | National Bank Nominees Pty | 4,471 | Fully paid ordinary | |||||
Limited | shares | |||||||
Mitsubishi UFJ Financial Group, Inc. | Northern Trust Company | 2,284,352 | Fully paid 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 | Date of acquisition | Consideration | Class and number of securities | |||||
interest | ||||||||
Cash | Non-cash | |||||||
See annexure B to this notice |
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 to this notice | 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: | |
Name | Address |
Mitsubishi UFJ Financial Group, Inc. | 2-7-1, Marunouchi, Chiyoda-ku, Tokyo 100-8330, Japan |
8. Signature |
Dated 19 August 2019
Tetsuya Shigemoto | Authorised signatory |
Page 2
Annexure A
This is annexure A of 5 pages referred to in Form 603, Notice of initial substantial holder dated 19 August 2019
Tetsuya Shigemoto | Authorised signatory | Dated 19 August 2019 |
SCHEDULE
MUFG Bank, Ltd.
Mitsubishi UFJ Trust and Banking Corporation
Mitsubishi UFJ Securities Holdings Co., Ltd.
MU Business Engineering, Ltd.
The Mitsubishi UFJ Factors Limited
Mitsubishi UFJ Jinji Service Co., Ltd.
MU Techno-service Co., Ltd.
Tokyo Credit Service, Ltd.
Tokyo Associates Finance Corp.
MU Business Service Co., Ltd.
Mitsubishi UFJ Loan Business Co.,Ltd.
Mitsubishi 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 Property Reserch Company Limited
Mitsubishi UFJ Home Loan CREDIT CO., LTD.
The Diamond Home Credit Company Limited
Mitsubishi UFJ Reserch & Consulting Co., Ltd.
MU Frontier Servicer Co., Ltd.
Otemachi Guarantee Co., Ltd.
GD Holdings Company Limited
MU Loan Administration Support Co., Ltd.
MU Communications Co.,Ltd.
Japan Electronic Monetary Claim Organization
MU Business Partner Co., Ltd.
MUT Business Outsourcing Co., Ltd.
Mezzanine Solution II Limited Partnership
Mezzanine Solution III Limited Partnership
Mitsubishi UFJ Capital Co., Ltd.
Mitsubishi UFJ Capital Ⅲ, Limited Partnership
Mitsubishi UFJ Capital Ⅳ, Limited Partnership
Mitsubishi UFJ Capital Ⅴ, Limited Partnership
Mitsubishi UFJ Capital Ⅵ, Limited Partnership
Mitsubishi UFJ Capital Ⅶ, Limited Partnership
Mitsubishi UFJ Life Science 1, Limited Partnership
Mitsubishi UFJ Life Science 2, Limited Partnership
Tohoku Senary Industry Support, Limited Partnership
OiDE Fund Investment Limited Partnership
Mitsubishi UFJ Personal Financial Advisers Co., Ltd.
Mitsubishi UFJ Financial Partners Co.,Ltd.
The Mitsubishi Asset Brains Company, Limited
BOT Lease Co., Ltd.
The Chukyo Bank, Ltd.
Nippon Mutual Housing Loan Co., Ltd.
JM Real Estate Co., Ltd.
Jibun Bank Corporation
JACCS CO.,LTD.
JALCARD Inc.
Yume Shokei Fund No.2
Yume Shokei Fund No.3
Marunouchi Capital Fund II Limited Partnership
M・U・Trust Sougou Kanri Co., Ltd.
Mitsubishi UFJ Trust Business Co., Ltd.
Ryoshin Data Co., Ltd.
Mitsubishi UFJ Trust Systems Co., Ltd.
Mitsubishi UFJ Trust Investment Technology Institute Co., Ltd.
Mitsubishi UFJ Trust Hosyo Co., Ltd.
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.
Japan Shareholder Services Ltd.
Mitsubishi UFJ Kokusai Asset Management Co., Ltd.
Tokumei-Kumiai (CPI)
Tokumei-Kumiai (GII)
Tokumei-Kumiai (Gate Bridge 1)
Tokumei-Kumiai (CENTOMILIARDO)
Tokumei-Kumiai (MEET)
Page 3
Tokumei-Kumiai (FIELD) Ippan Shadan Houjin Leone
Jointly Managed Monetary Trust Fund (Fund Number:550001) MU Trust Property Management Co., Ltd.
Tokumei-Kumiai (RICE) TOKKINGAI (Fund Number.900338) TOKKINGAI (Fund Number.900327) TOKKINGAI (Fund Number.900344) AMP Capital Investors KK
MM Partnership
MUS Information Systems Co., Ltd. MUS Business Service Co., Ltd.
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. Mitsubishi UFJ Morgan Stanley PB Securities Co., Ltd. kabu.com Securities Co., Ltd.
Morgan Stanley MUFG Securities Co., Ltd. Mitsubishi UFJ NICOS Co., Ltd.
Card Business Service Co.,Ltd.
MU NICOS Business Service Co., Ltd. MU NICOS Credit Co.,Ltd.
Ryoshin DC Card Company Ltd. JMS Co., Ltd.
Paygent Co., Ltd.
JA Card Co., Ltd
ACOM CO., LTD.
IR Loan Servicing, Inc.
MU Credit Guarantee Co., Ltd. Japan Digital Design, Inc. Crowd Money Inc.
MUMEC Visionary Design, Ltd. Global Open Network, Inc. Global Open Network Japan, Inc. MUFG Innovation Partners Co., Ltd.
MUFG Innovation Partners No.1 Investment Partnership Mitsubishi Research Institute DCS Co.,Ltd.
HR Solution DCS Co.,Ltd.
Mitsubishi UFJ Lease & Finance Company Limited Hitachi Capital Corporation
Nihombashi TG Jigyo Kyodo Kumiai
NIHOMBASHI TG SERVICE CO., LTD.
SHIN-NIHOMBASHI TSUSHO CO., LTD. Solution Design Co.,ltd.
Nippon Record Keeping Network Co., Ltd. Banco MUFG Brasil S.A.
9808680 Canada Inc.
BTMU (Curacao) Holdings N.V. MUFG Bank (Europe) N.V.
MUFG Business Services (Holland) B.V. MUFG Funding (UK) Limited
MUFG Europe Lease (Deutschland) GmbH MUFG Bank (Malaysia) Berhad
MUFG North America International, Inc. MUFG Bank Mexico, S.A.
MUFG Nominees (HK) Limited
MUFG Nominees (UK) Limited
MUFG Americas Holdings Corporation MUFG Union Bank, N.A.
Union Bank of California Leasing, Inc. UBOC Community Development Corporation UnionBanc Investment Services, LLC Bankers Commercial Corporation UnionBanCal Equities, Inc.
UnionBanCal Leasing Corporation
UnionBanCal Mortgage Corporation Mills-Ralston, Inc.
HighMark Capital Management, Inc. BCC OX I, Inc.
BCC OX II, Inc.
SEMA OP9 LLC
SEMA OP8 LLC MORGANTOWN OL6 LLC MORGANTOWN OL7 LLC MORGANTOWN OL5 LLC DICKERSON OL4 LLC TRL One A, LLC
TRL One B, LLC TRL One, LP BM1,LLC
UB Leasing Corporation Pacific Capital Statutory Trust I Shiloh Ⅳ Wind Project, LLC Shiloh Ⅳ Holdings Lessor Trust Green Union I Trust
Green Union II Trust
Green Union III Trust
Tohlease Corporation
MUFG Americas Funding Corporation
MUFG Americas Financial & Leasing Corporation B-4 U.B. Vehicle Leasing, Inc.
Page 4
MUFG Americas Leasing Corporation MUFG Americas Financial Services, Inc. MUFG Americas Leasing (Canada) Corporation MUFG Americas Leasing & Finance, Inc.
MUFG Americas Capital Leasing & Finance, LLC MUFG Americas Corporate Advisory, Inc. MUFG Americas LF Capital LLC
MUFG Americas Capital Company
MUFG Fund Services (USA) LLC
MUFG Securities Americas Inc. MUFG Capital Analytics LLC MUFG Investor Services (US), LLC Intrepid Investment Bankers LLC
Southern California Business Development Corporation Catalina Solar Holdings Lessor Trust
Catalina Solar, LLC
Morgan Stanley MUFG Loan Partners, LLC PT U Finance Indonesia
PT. MU Research and Consulting Indonesia
MU Research and Consulting (Thailand) Co., Ltd. MUFG Participation (Thailand) Co., Ltd.
AO MUFG Bank (Eurasia)
MUFG Bank (China), Ltd.
BTMU Preferred Capital 8 Limited
BTMU Preferred Capital 9 Limited
BTMU Liquidity Reserve Investment Limited MUFG Bank Turkey Anonim Sirketi
Bank of Ayudhya Public Company Limited Krungsri Ayudhya AMC Limited Krungsri 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 Ngern Tid Lor Company Limited
Krungsri Securities Public Company Limited
Siam Realty and Services Security Co.,Ltd. Krungsri Leasing Services Co., Ltd. Hattha Kaksekar Limited
Krungsri Finnovate Co., Ltd.
Tesco Card Services Limited
BTMU Liquidity Reserve Investment 2 Limited
BTMU Liquidity Reserve Investment 3 Limited PT Guna Dharma
PT Bank Danamon Indonesia, Tbk. PT Adira Quantum Multifinance
PT Adira Dinamika Multi Finance Tbk PT Asuransi Adira Dinamika
BOT Lease (HK) Co., Ltd.
PT Bumiputera - BOT Finance BOT Lease Holding Philippines, Inc.
BOT Lease and Finance, Philippines, Inc. BOT Lease (Thailand) Co., Ltd.
MUFG Holding (Thailand) Co., Ltd. Bangkok MUFG Limited
BOT Lease(Eurasia)LLC BOT Lease (Tianjin) Co., Ltd.
BOTL Factoring (Shanghai) Co., Ltd.
BOT LEASE MEXICO S.A. DE C.V.
BOT FINANCE MEXICO, S.A. DE C.V., SOFOM, E.N.R.
GOLDEN ASIA FUND VENTURES LTD. 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
GOLDEN ASIA FUND II, L.P. Security Bank Corporation
Mitsubishi UFJ Trust International Limited
Mitsubishi UFJ Baillie Gifford Asset Management Limited Mitsubishi UFJ Investor Services & Banking (Luxembourg) S.A. MUFG Lux Management Company S.A.
Mitsubishi UFJ Investment Services (HK) Limited Mitsubishi UFJ Asset Management (UK) Ltd.
LUX J1 FUND
MUFG Investor Services Holdings Limited
MUFG Fund Services (Bermuda) Limited
MUFG Fund Services (Cayman) Limited MUFG Fund Services (Cayman) Group Limited MUFG Fund Services (Ireland) Limited
Fund Secretaries Limited MUFG Fund Services Limited
MUFG Fund Services (Canada) Limited MUFG Fund Services (UK) Limited
Page 5
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Aveo Group Ltd. published this content on 19 August 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 19 August 2019 05:46:07 UTC