(e) MITSUBISHI-UFJ FINANCIAL GROUP
MUFG
FACSIMILE TRANSMISSION HEADER
DATE OF MESSAGE: 2/Novem ber/2016 | MESSAGE NO: " | NUMBER OF PAGES INCLUDING COVER PAGE: 7 |
TO: ASX Market Announcements Office FAX NO. ( 61 l 2 9778 0999 | cc: | |
FROM: MITSUBISHI-UFJ FINANCIAL GROUP Corporate Administration Department (Attn: K.Takase) FAX NO. 81"3"6214"6367 TEL NO 81"3"6214"6626 | ||
RE: Submission of FORM 603(1NK) |
We hereby submit Form 603 as attached. Best regards,
Kenji Takase
TEL : 81"3"6214"6626
ail : kenjCtakase@mufg.jp
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. Ifyou have received this fax in error, please contact the number indicated.
Form 603
Corporations Act 2001 Section 671B
Notice of initial substantial holder
To Comal'ly Nar,u/Sc:heme INDAGO ENERGY LIMITEO ACNIARSN 117367 354
Detalls of s.ubttantial holder (1)
Na.me
ACNIARSN (if applicable)
Mitsubi.t:ihi UFJ Fir,ancial Group, lne. Not Applicable
The holder became a substantial holder on The holder became aware on
28 October 2016
November 2016
2. Details of voting power
Thelotal numbel' of votes attached to all the voling shal'efi ir'l lhe company or voting interests in the scheme thl;ll the substantial holder or an associate (2) had a
relevant Interest () in on the dale the substantial holder became $ $1,1bstantiilll holder are as follo'lv'S:
Clatt of ecurities (4)
Numbar of fit:ul'ities
Person's votes (S)
Volin power (6)
Ol'dinary $hare
5,468,763
5,468,763
5.43o/o
Based on 100.738,214 Ordinary Shares Outslandlng
3. Details of relevant Interests
tioldr of .-elevaot Interest
Nature of relevant Interest (7)
Class and number
of securities
Mih:ubishi UFJ Financial Group, lnc.
Relevanl interest in securitielS th l Morgan Stanley Australia Securities
Limited has a relevant lnLerest in under seclion 608(3) of the Corporations Aet as Mil$1,1biishi UFJ Financial Group. Inc. has voting power of over 20°/a in MoJ'Qan Slanley lnc.
5 468 7a,:; Ol'dinary s'hare's
The nalure of the relevant interesl the substantial holder or an associate had inlhe following voting securities on lhe date the substantial holder became a substanllal holder are asfollows:
Details of p.-e!;ient r-egistered holders
The persons regi:!:itered as hQlde of the sec•.irities referred lO in paragraph J bove re as follows:
Holder of relevant Interest
Registered holder of securties
Perso11 entitled lO be rogislered •• holder (8)
Class and number of securilies
Mil$1,1bishi UFJ Financial Group. Inc.
Morgn St!i!nley Australia Securllies (Nominee) Ply Limited
Not Applic ble
5.468,763 Ordinary Shares
Consideration
The consideration paid for each relevanL interest referred to in paragraph 3 above. and acquired inlhe four months prior to the day lhaL the substantial holder became a subslantial holder Is as follows:
Holder of relevant intereEit
Dil1.e of acqul.!:!ltlon
(MMIDD/YYYY)
Consideration (9)
Class and numt;ier lntest of sec:urities
Cash
Non-Cash
MilstJbishi Uf:J Financial Group, Inc.
0912712016
289,754.46
NIA
4,261,095 Ordinary Shares
Mil.Subishi Uf=J Finncial Group, Inc.
0912912016
448.16
NIA
6,588 Ordinary Shares
Mitsubishi UFJ Financial Group, l11c.
10/0l:i/2011:1
3,839.99
NIA
54,857 Ordinary Sharea
Milsubishi UFJ Flnanc.ial Group, Inc.
10107/2016
1,561.M
NIA
2S,6S6 Ordi'l;!ll"Y Sl"iares
Holder of relevant interest
Date of ae:Qui.sitlol'I (MMIDOIYYYY)
Con•lerotlon (9)
Class and number Interest of securities
Cash
NonCash
Mitsubishi UFJ Financial Group, Inc.
10/10/2016
4,160.00
NIA
65,000 Ordinafy Shares
Mitsubishi UFJ Financial Group, Inc.
10/W/2016
6,602.70
NIA
100,000 O!'dinary Shares
Mitsubishi UFJ Financial Group, Int.
1012812016
71,889.34
NIA
957,567 Ordinary Shares
e. A., oclte$
The reasons the per'sons named in para51r.1;1ph 3 above are associales of the substantial holder are as follo'NS:
Name and ACNIARSN (If oppllooble)
Natur'I:! of association
See Annexure A
Each company referredlo Is an associate of Mitsubishi UFJ Finanoial Gtoui:i, lne. under
seeLion 12 of the Corporations Act
7. Address.es
The addresses of persons named in this fon'l'I are as folloWQ:
Nme
Addtess
Mitsubishi UFJ Financial Gn:11,1p, Inc.
•-7-1, Morunouohi, Chiyodo-ku, Tokyo, 100-8330. Japan
Signature
print name Mr. Tsukasa Bessho
capacity
Authorised signatory
sign hre
date
2 November 2016
2
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
November 2016.
Signed: Mr. Tswkasa Bessho
Milsubishi UFJ Financial Gro1,.1p, Inc:. The Bank of Tokyo-Mitsubi•hi UFJ, Ltd.
MllSublshl UFJ Trust and Banking Corporation Milsubishi UFJ Securities Holdings Co., Ltd. MU Business Engineering, Ltd.
The Mitsubishi UFJ Factots Limited
Mitsubishi UFJ Jinji Service Co.. Ltd.
Mu raehno-serviee Co., Lld.
MU Office Servlce Co., Ltd. Tokyo Credit Service. Ltd.
MU Business Service Co.. Lld. Mitijvbihi UFJ Lon ssiness Co.,Ltd.
Mitsubishi UFJ Information echno1ogy, Ltd.
MU Cenler Service Tokyo Co.. Ltd. MU Center Service Nagoya Co., Lid. MU C,enter Service Osaka Co., Ltd. MU Busirii!'1lss Aid Co., Ltd.
MU Property Reserch Company Limited Mitsubishi UFJ Home Loan CREDIT co.. LTD.
Tha Oiar'l'lond Hofl'le Cl'edit Comp.any Limited Mitsubishi UFJ Reserch & Consulting Co., Ltd. MU Frontier Servicer Co., Ltd.
Otemachi Guarantee Co., Ltd.
MU Lo.!i:!n Administr.li:l tion Sur;,r;,ort Co., Ltd. MU Opatation Conuol Support Co., Ltd. Shlntokyo Guarantee Co.. Ltd.
MU Communications Co.,Ltd. 'iokyo A$$00i.ate:s Finance Corr;,.
Japan Electronic Monetary Claim Organization MU 6usiness Partner Co., Ltd.
MUT Business Outsourcing Co., Ltd.
Mezzanine Solution II Limited Partnership Mitsubishi UFJ Capital Co., Ltd.
Milsubishi UFJ Venture Fund No.2 Investment Limited Liabillty Partnership MlJFG Venture Car;,iINo.1 Limited Liability Partnership
Mitsubishi UFJ Capital n Limited i;"artnershir;,
Mitsubishi UFJ C.!i:!r;,ital m Limited Partnership
Mitsubishi UFJ Capital IV Limited Pannershlp Mitsubishi UFJ Capital V Limited Partnership
Tohoku Sen.ary Industry Sur;,r;,ort, Limited Partnership OIDE Fund lnvestme.-.t Limitad Part.-.ehip
Mitsubishi UFJ Financial Partners Co.,Ltd.
The Mit:subi:shi As:set Brains Company, Limited SOT Lease Co., Ltd.
The T;;iisho 6ank, l.d.
Taisho Shinyohosho Co.,Ltd. Th• Chukyo Sank, Lid.
The Chukyo Card Co., ltd.
Nippon Mutual Housing Loan Co., Ltd. JM Reol Estate Co.. Ltd.
Jibun Bank Cotpor.ation JACCS CO..LTD. JALCARD Inc.
Yume Shokei Fund Yume Shokei Fund No.2 NexL Step FLlnd
Mezzanine Solution I Limited Partn€tship M·U·Tn.Jst Sougou Ka.-.ri Co., Ltd.
Mitsubi6hi UFJ Trust Business Co., Ltd. Ryoshin Data Co., Ltd.
MilSublshl UFJ Trust Systems Co., LLd.
Mitsubishi UFJ 'irust Investment Technology lnstilute Co., Lld. Mitsubishi UFJ Trust Hosyo Co., Lid.
Ryoshin DC Card Company Ltd. M·U·Trust·Apple laoning Company, Lid. Mib;.ubishi UFJ Real Estale Services Co., Lld. Mitsubil:ihi UFJ 0.1;1iko 6ui;.inei;os Co., Ltd.
The Master Trust Bank of Japan, Ltd. MU lnvestmenls Co., Ltd.
Mitsubishi UFJ Investor Seitvice.s Limill?d Japan Shareholder Services Ltd.
Mllsublshi UFJ Kokusai Asset Ma.-.agement Co., Ltd.
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