- Amended Statement of Ownership (SC 13G/A)
11 February 2012 - 3:06AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
Hitachi, Ltd.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
December 31, 2011
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
þ
:
|
Rule 13d-1(b)
|
|
|
o
:
|
Rule 13d-1(c)
|
|
|
o
:
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Rule 13d-1(d)
|
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
1
|
NAME OF REPORTING PERSON
Mitsubishi UFJ Financial Group, Inc.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
The Bank of Tokyo–Mitsubishi UFJ, Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
Mitsubishi UFJ Trust and Banking Corporation
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
Mitsubishi UFJ Securities Holdings Co., Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
Mitsubishi UFJ Securities International plc
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
Mitsubishi UFJ Asset Management Co., Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
Mitsubishi UFJ Asset Management (UK) Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
kabu.com Securities Co., Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
KOKUSAI Asset Management Co., Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
422,000
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
1
|
NAME OF REPORTING PERSON
HighMark Capital Management, Inc.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
California, United States
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
165,000
|
6
|
SHARED VOTING POWER
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
12
|
TYPE OF REPORTING PERSON (See Instructions)
|
|
ITEM 1
|
(a)
|
Name of Issuer
|
|
|
|
|
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Hitachi, Ltd.
|
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|
|
|
(b)
|
Address of Issuer’s Principal Executive Offices
|
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|
|
|
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6-6 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-8280, Japan
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ITEM 2
|
(a)
|
Names of Persons Filing
|
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Mitsubishi UFJ Financial Group, Inc. (“MUFG”)
|
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The Bank of Tokyo-Mitsubishi UFJ, Ltd. (“BTMU”)
|
|
|
|
|
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Mitsubishi UFJ Trust and Banking Corporation (“MUTB”)
|
|
|
|
|
|
Mitsubishi UFJ Securities Holdings Co., Ltd. (“MUSHD”)
|
|
|
|
|
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Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (“MUMSS”)
|
|
|
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Mitsubishi UFJ Securities International plc (“MUSI”)
|
|
|
|
|
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Mitsubishi UFJ Asset Management Co., Ltd. (“MUAM”)
|
|
|
|
|
|
Mitsubishi UFJ Asset Management (UK) Ltd. (“MUAMUK”)
|
|
|
|
|
|
MU Investments Co., Ltd. (“MUI”)
|
|
|
|
|
|
kabu.com Securities Co., Ltd. (“KC”)
|
|
|
|
|
|
KOKUSAI Asset Management Co., Ltd. (“KAM”)
|
|
|
|
|
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HighMark Capital Management, Inc. (“HCM”)
|
|
|
|
|
(b)
|
Address of Principal Business Office or, if none, Residence
|
|
|
|
|
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MUFG:
|
|
|
7-1 Marunouchi 2-chome, Chiyoda-ku
|
|
|
Tokyo 100-8330, Japan
|
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|
|
|
|
BTMU:
|
|
|
7-1 Marunouchi 2-chome, Chiyoda-ku
|
|
|
Tokyo 100-8388, Japan
|
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|
|
|
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MUTB:
|
|
|
4-5 Marunouchi 1-chome, Chiyoda-ku
|
|
|
Tokyo 100-8212, Japan
|
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MUSHD:
|
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5-2 Marunouchi 2-chome, Chiyoda-ku
|
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MUMSS:
|
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5-2 Marunouchi 2-chome, Chiyoda-ku
|
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Tokyo 100-0005, Japan
|
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MUSI:
|
|
|
Ropemaker Place, 25 Ropemaker Street
|
|
|
London EC2Y 9AJ, United Kingdom
|
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|
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MUAM:
|
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4-5 Marunouchi 1-chome, Chiyoda-ku
|
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Tokyo 100-8212, Japan
|
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MUAMUK:
|
|
|
Ropemaker Place, 25 Ropemaker Street
|
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|
London EC2Y 9AN, United Kingdom
|
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|
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|
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MUI:
|
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|
2-15 Nihonbashi Muromachi 3-chome, Chuo-ku
|
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Tokyo 103-0022, Japan
|
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KC:
|
|
|
3-2 Otemachi 1-chome, Chiyoda-ku
|
|
|
Tokyo 100-0004, Japan
|
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|
|
|
KAM:
|
|
|
1-1 Marunouchi 3-chome, Chiyoda-ku
|
|
|
Tokyo 100-0005, Japan
|
|
|
|
|
|
HCM:
|
|
|
350 California Street, San Francisco
|
|
|
California 94104, USA
|
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|
|
|
(c)
|
Citizenship
|
|
|
|
|
|
Not applicable.
|
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|
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(d)
|
Title of Class of Securities
|
|
|
|
|
|
Common Stock
|
|
|
|
|
(e)
|
CUSIP Number
|
|
|
|
|
|
433578507
|
ITEM 3
|
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
|
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MUFG:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
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|
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(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
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(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
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|
|
|
|
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(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
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|
|
|
|
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(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
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(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
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(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
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(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
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(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
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(j)
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
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(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
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If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Parent holding company
|
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BTMU:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
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(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
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(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
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(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
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(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
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|
|
|
|
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(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
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|
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(j)
|
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
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(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
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|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Bank
|
|
MUTB:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Bank
|
|
MUSHD:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer
|
|
MUMSS:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer
|
|
MUSI:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer, Bank
|
|
MUAM:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser
|
|
MUAMUK:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser
|
|
MUI:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser
|
|
KC:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Broker-dealer
|
|
KAM:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Investment adviser
|
|
|
|
|
|
|
HCM:
|
(a)
|
[ ]
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
|
|
|
|
|
|
(e)
|
[
Ö
]
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
(f)
|
[ ]
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
|
|
(j)
|
[ ]
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Not applicable
|
ITEM 4
|
Ownership
|
|
|
|
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
|
|
For MUFG
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
248,542,544
|
|
|
|
|
|
(b)
|
Percent of class:
|
5.49%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
248,542,544
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
248,542,544
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For BTMU
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
1,000,000
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.02%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
1,000,000
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
1,000,000
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
For MUTB
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
210,629,368
|
|
|
|
|
|
(b)
|
Percent of class:
|
4.66%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
210,629,368
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
210,629,368
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For MUSHD
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
12,088,429
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.27%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
12,088,429
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
12,088,429
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For MUMSS
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
7,408,152
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.16%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
7,408,152
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
7,408,152
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For MUSI
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
4,680,277
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.10%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
4,680,277
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
4,680,277
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For MUAM
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
23,470,000
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.52%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
23,470,000
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
23,470,000
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For MUAMUK
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
338,000
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.01%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
338,000
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
338,000
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For MUI
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
331,000
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.01%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
331,000
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
331,000
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For KC
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
436,747
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.01%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
436,747
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
436,747
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For KAM
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
422,000
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.01%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
422,000
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
422,000
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
|
|
|
|
|
|
|
|
For HCM
|
|
|
|
|
|
|
(a)
|
Amount beneficially owned:
|
165,000
|
|
|
|
|
|
(b)
|
Percent of class:
|
0.00%
|
|
|
|
|
|
(c)
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
165,000
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
-0-
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
165,000
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
-0-
|
ITEM 5
|
Ownership of Five Percent or Less of a Class
|
Not applicable.
ITEM 6
|
Ownership of More than Five Percent on Behalf of Another Person
|
Not applicable.
ITEM 7
|
Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
|
As of December 31, 2011, MUFG beneficially owns 248,542,544 shares of the issuer indirectly through its subsidiaries as follows: BTMU holds 1,000,000 shares; MUTB holds 210,629,368 shares; MUSHD holds 12,088,429 shares (including 7,408,152 shares indirectly held through MUMSS, and 4,680,277 shares indirectly held through MUSI, both which are subsidiaries); MUAM holds 23,470,000 shares (including 338,000 shares indirectly held through a subsidiary, MUAMUK); MUI holds 331,000 shares; KC holds 436,747 shares; KAM holds 422,000 shares; and HCM holds 165,000 shares.
ITEM 8
|
Identification and Classification of Members of the Group
|
Not applicable.
ITEM 9
|
Notice of Dissolution of Group
|
Not applicable.
By signing below MUFG, BTMU, MUTB, MUSHD, MUMSS, MUSI, MUAM, MUAMUK, MUI, KC and KAM certify that, to the best of their knowledge and belief, (i) the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, and (ii) the foreign regulatory schemes applicable to parent holding companies, banks, broker-dealers and investment advisers, respectively, are substantially comparable to the regulatory schemes applicable to the functionally equivalent U.S. institutions. These filers also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D.
By signing below HCM certifies that, to the best of its knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
February 10, 2012
|
|
|
|
|
|
|
Mitsubishi UFJ Financial Group, Inc.
|
|
|
|
|
|
|
|
By:
|
/s/
Koujirou Nakazawa
|
|
|
|
|
Name:
|
|
|
|
|
|
Title:
|
Senior Manager, Credit & Investment Management Division
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
The Bank of Tokyo-Mitsubishi UFJ, Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/
Koujirou Nakazawa
|
|
|
|
|
Name:
|
|
|
|
|
|
Title:
|
Chief Manager, Credit Policy & Planning Division
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
February 10, 2012
|
|
|
|
|
|
|
|
Mitsubishi UFJ Trust and Banking Corporation
|
|
|
|
|
|
|
|
By:
|
/s/
Hiroki Masuoka
|
|
|
|
|
Name:
|
|
|
|
|
|
Title:
|
Deputy General Manager of Trust Assets Planning Division
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
Mitsubishi UFJ Securities Holdings Co., Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/
Shingo Sumimoto
|
|
|
|
|
Name:
|
|
|
|
|
|
Title:
|
General Manager, Corporate Planning Division
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/
Tetsurou Shinohara
|
|
|
|
|
Name:
|
|
|
|
|
|
Title:
|
General Manager, Corporate Planning Division
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
Mitsubishi UFJ Securities International plc
|
|
|
|
|
|
|
|
By:
|
/s/ Yasutaka Suehiro
|
|
|
|
|
Name:
|
Yasutaka Suehiro
|
|
|
|
|
Title:
|
Chief Administration Officer
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
|
Mitsubishi UFJ Asset Management Co., Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/ Katsutoshi Edamura
|
|
|
|
|
Name:
|
Katsutoshi Edamura
|
|
|
|
|
Title:
|
General Manager of Risk Management Division
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
|
Mitsubishi UFJ Asset Management (UK) Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/
Kenji Nakai
|
|
|
|
|
Name:
|
|
|
|
|
|
Title:
|
Managing Director & CE
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
|
MU Investments Co., Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/
Yuya Saijo
|
|
|
|
|
Name:
|
Yuya Saijo
|
|
|
|
|
Title:
|
Senior Managing Director
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
|
kabu.com Securities Co., Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/ Takeshi Amemiya
|
|
|
|
|
Name:
|
Takeshi Amemiya
|
|
|
|
|
Title:
|
General Manager of Corporate Administration
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
|
KOKUSAI Asset Management Co., Ltd.
|
|
|
|
|
|
|
|
By:
|
/s/ Takeshi Dohi
|
|
|
|
|
Name:
|
Takeshi Dohi
|
|
|
|
|
Title:
|
General Manager, Investment Management Planning Dept.
|
|
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
|
|
|
|
HighMark Capital Management, Inc.
|
|
|
|
|
|
|
|
By:
|
/s/ Earle A. Malm II
|
|
|
|
|
Name:
|
Earle A. Malm II
|
|
|
|
|
Title:
|
Chairman, President and CEO
|
|
Page 38 of 38
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