UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 5)*
Nidec Corporation
(Name of Issuer)
Common Stock
(Title of Class of Securities)
654090109
(CUSIP Number)
December 31, 2013
(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 : 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).
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON Mitsubishi UFJ Financial Group, Inc. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 7,840,594 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 7,840,594 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,840,594 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.8% | |
12 | TYPE OF REPORTING PERSON FI |
Page 2 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON The Bank of Tokyo–Mitsubishi UFJ, Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 3,695,945 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 3,695,945 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,695,945 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.7% | |
12 | TYPE OF REPORTING PERSON FI |
Page 3 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON kabu.com Securities Co., Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 11,380 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 11,380 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,380 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% | |
12 | TYPE OF REPORTING PERSON FI |
Page 4 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON Mitsubishi UFJ Trust and Banking Corporation | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 3,613,180 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 3,613,180 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,613,180 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.7% | |
12 | TYPE OF REPORTING PERSON FI |
Page 5 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON MU Investments Co., Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 141,600 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 141,600 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 141,600 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% | |
12 | TYPE OF REPORTING PERSON FI |
Page 6 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON Mitsubishi UFJ Asset Management Co., Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 507,100 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 507,100 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 507,100 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.4% | |
12 | TYPE OF REPORTING PERSON FI |
Page 7 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON Mitsubishi UFJ Securities Holdings Co., Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 531,469 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 531,469 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 531,469 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.4% | |
12 | TYPE OF REPORTING PERSON FI |
Page 8 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Tokyo, Japan |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 356,485 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 356,485 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 356,485 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% | |
12 | TYPE OF REPORTING PERSON FI |
Page 9 of 29
CUSIP No. 654090109 |
1 | NAME OF REPORTING PERSON Mitsubishi UFJ Securities International plc | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o |
3 | SEC USE ONLY | |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION London, United Kingdom |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 174,984 |
6 | SHARED VOTING POWER -0- | |
7 | SOLE DISPOSITIVE POWER 174,984 | |
8 | SHARED DISPOSITIVE POWER -0- |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 174,984 | |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% | |
12 | TYPE OF REPORTING PERSON FI |
Page 10 of 29
CUSIP No. 654090109 |
ITEM 1 | ||
(a) | Name of Issuer | |
Nidec Corporation | ||
(b) | Address of Issuer's Principal Executive Offices | |
338 Kuzetonoshiro-cho, Minami-ku, Kyoto 601-8205, Japan | ||
ITEM 2 | ||
(a) | Names of Persons Filing | |
Mitsubishi UFJ Financial Group, Inc. ("MUFG") | ||
The Bank of Tokyo-Mitsubishi UFJ, Ltd. ("BTMU") | ||
kabu.com Securities Co., Ltd. ("KC") | ||
Mitsubishi UFJ Trust and Banking Corporation ("MUTB") | ||
MU Investments Co., Ltd. ("MUI") | ||
Mitsubishi UFJ Asset Management Co., Ltd. ("MUAM") | ||
Mitsubishi UFJ Securities Holdings Co., Ltd. ("MUSHD") | ||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. ("MUMSS") | ||
Mitsubishi UFJ Securities International plc ("MUSI") | ||
(b) | Address of Principal Business Office or, if none, Residence | |
MUFG: | ||
7-1 Marunouchi 2-chome, Chiyoda-ku | ||
Tokyo 100-8330, Japan | ||
BTMU: | ||
7-1 Marunouchi 2-chome, Chiyoda-ku | ||
Tokyo 100-8388, Japan | ||
KC: | ||
3-2 Otemachi 1-chome, Chiyoda-ku | ||
Tokyo 100-0004, Japan | ||
MUTB: | ||
4-5 Marunouchi 1-chome, Chiyoda-ku | ||
Tokyo 100-8212, Japan | ||
MUI: | ||
2-15 Nihonbashi Muromachi 3-chome, Chuo-ku | ||
Tokyo 103-0022, Japan | ||
MUAM: | ||
4-5 Marunouchi 1-chome, Chiyoda-ku | ||
Tokyo 100-8212, Japan | ||
Page 11 of 29
CUSIP No. 654090109 |
MUSHD: | ||
5-2, Marunouchi 2-chome, Chiyoda-ku | ||
Tokyo 100-0005, Japan | ||
MUMSS: | ||
5-2, Marunouchi 2-chome, Chiyoda-ku | ||
Tokyo 100-0005, Japan | ||
MUSI: | ||
Ropemaker Place, 25 Ropemaker Street, London, EC2Y 9AJ, | ||
United Kingdom | ||
(c) | Citizenship | |
Not applicable. | ||
(d) | Title of Class of Securities | |
Common Stock | ||
(e) | CUSIP Number | |
654090109 | ||
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: | |||
MUFG: | (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: Parent holding company | ||||
Page 12 of 29
CUSIP No. 654090109 |
BTMU: | (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 | ||||
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); | ||
Page 13 of 29
CUSIP No. 654090109 |
(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 | ||||
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 | ||||
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); | ||
Page 14 of 29
CUSIP No. 654090109 |
(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 | ||||
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 | ||||
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 | ||
Page 15 of 29
CUSIP No. 654090109 |
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); | ||
Page 16 of 29
CUSIP No. 654090109 |
(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 | ||||
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: | 7,840,594 | |
(b) | Percent of class: | 5.82% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 7,840,594 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 7,840,594 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
For BTMU | |||
(a) | Amount beneficially owned: | 3,695,945 | |
(b) | Percent of class: | 2.75% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 3,695,945 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 3,695,945 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
For KC | |||
(a) | Amount beneficially owned: | 11,380 | |
(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: | 11,380 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
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(iii) Sole power to dispose or to direct the disposition of: | 11,380 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
For MUTB | |||
(a) | Amount beneficially owned: | 3,613,180 | |
(b) | Percent of class: | 2.68% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 3,613,180 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 3,613,180 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
For MUI | |||
(a) | Amount beneficially owned: | 141,600 | |
(b) | Percent of class: | 0.11% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 141,600 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 141,600 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
For MUAM | |||
(a) | Amount beneficially owned: | 507,100 | |
(b) | Percent of class: | 0.38% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 507,100 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 507,100 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
For MUSHD | |||
(a) | Amount beneficially owned: | 531,469 | |
(b) | Percent of class: | 0.39% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 531,469 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 531,469 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
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For MUMSS | |||
(a) | Amount beneficially owned: | 356,485 | |
(b) | Percent of class: | 0.26% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 356,485 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 356,485 | ||
(iv) Shared power to dispose or to direct the disposition of: | -0- | ||
For MUSI | |||
(a) | Amount beneficially owned: | 174,984 | |
(b) | Percent of class: | 0.13% | |
(c) | Number of shares as to which the person has: | ||
(i) Sole power to vote or to direct the vote: | 174,984 | ||
(ii) Shared power to vote or to direct the vote: | -0- | ||
(iii) Sole power to dispose or to direct the disposition of: | 174,984 | ||
(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, 2013, MUFG beneficially owns 7,840,594 shares of the issuer indirectly through its subsidiaries as follows: | ||
— | BTMU holds 3,695,945 shares, including indirectly through its subsidiary as follows; | |
・KC holds 11,380 shares | ||
— | MUTB holds 3,613,180 shares, including indirectly through its subsidiaries as follows; | |
・MUI holds 141,600 shares | ||
・MUAM holds 507,100 shares | ||
— | MUSHD holds 531,469 shares indirectly through its subsidiaries as follows; | |
・MUMSS holds 356,485 shares | ||
・MUSI holds 174,984 shares |
ITEM 8 | Identification and Classification of Members of the Group |
Not applicable. | |
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ITEM 9 | Notice of Dissolution of Group |
Not applicable. | |
ITEM 10 | Certifications |
By signing below the filers 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. The filers also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D. |
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CUSIP No. 654090109 |
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 12, 2014 | |||
Mitsubishi UFJ Financial Group, Inc. | |||
By: | /s/ Kazutomo Kishi | ||
Name: | Kazutomo Kishi | ||
Title: | Senior Manager, Credit & Investment Management Division |
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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 12, 2014 | |||
The Bank of Tokyo-Mitsubishi UFJ, Ltd. | |||
By: | /s/ Kazutomo Kishi | ||
Name: | Kazutomo Kishi | ||
Title: | Chief Manager, Credit & Investment Management Division |
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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 12, 2014 | |||
kabu.com Securities Co., Ltd. | |||
By: | /s/ Takeshi Amemiya | ||
Name: | Takeshi Amemiya | ||
Title: | General Manager of Corporate Administration |
Page 23 of 29
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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 12, 2014 | |||
Mitsubishi UFJ Trust and Banking Corporation | |||
By: | /s/ Eiji Ihori | ||
Name: | Eiji Ihori | ||
Title: | General Manager of Assets Planning Division |
Page 24 of 29
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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 12, 2014 | |||
MU Investments Co., Ltd. | |||
By: | /s/ Yoshihiro Asada | ||
Name: | Yoshihiro Asada | ||
Title: | Executive Officer |
Page 25 of 29
CUSIP No. 654090109 |
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 12, 2014 | |||
Mitsubishi UFJ Asset Management Co., Ltd. | |||
By: | /s/ Katsutoshi Edamura | ||
Name: | Katsutoshi Edamura | ||
Title: | General Manager of Risk Management Division |
Page 26 of 29
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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 12, 2014 | |||
Mitsubishi UFJ Securities Holdings Co., Ltd. | |||
By: | /s/ Kazuo Ozaki | ||
Name: | Kazuo Ozaki | ||
Title: | Deputy General Manager of Corporate Planning Division |
Page 27 of 29
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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 12, 2014 | |||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | |||
By: | /s/ Kazuo Ozaki | ||
Name: | Kazuo Ozaki | ||
Title: | Deputy General Manager of Corporate Planning Division |
Page 28 of 29
CUSIP No. 654090109 |
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 12, 2014 | |||
Mitsubishi UFJ Securities International plc | |||
By: | /s/ Nobuyuki Uchida | ||
Name: | Nobuyuki Uchida | ||
Title: | Deputy Chief Executive Officer |
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