UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Canon Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
138006309
(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).
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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
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 | |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 6,363,414 |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
1 | NAME OF REPORTING PERSON | |
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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
1 | NAME OF REPORTING PERSON Mitsubishi UFJ Asset Management (UK) 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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
1 | NAME OF REPORTING PERSON KOKUSAI 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 | |
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 | o |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
12 | TYPE OF REPORTING PERSON | |
ITEM 1 |
| | |
| (a) | Name of Issuer |
| | |
| | Canon Inc. |
| | |
| (b) | Address of Issuer's Principal Executive Offices |
| | |
| | 30-2 Shimomaruko 3-chome, Ota-ku, Tokyo, 146-8501 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 Asset Management (UK) Ltd. ("MUAMUK") |
| | |
| | Mitsubishi UFJ Securities Holdings Co., Ltd. ("MUSHD") |
| | |
| | Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. ("MUMSS") |
| | |
| | KOKUSAI Asset Management Co., Ltd. ("KAM") |
| | |
| (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 |
| | |
| | MUAMUK: |
| | 24 Lombard Street, London, EC3V 9AJ, |
| | United Kingdom |
| | |
| | MUSHD: |
| | 5-2, Marunouchi 2-chome, Chiyoda-ku |
| | Tokyo 100-0005, Japan |
| | |
| | MUMSS: |
| | 5-2, Marunouchi 2-chome, Chiyoda-ku |
| | Tokyo 100-0005, Japan |
| | |
| | KAM: |
| | 1-1 Marunouchi 3-chome, Chiyoda-ku |
| | Tokyo 100-0005, Japan |
| | |
| (c) | Citizenship |
| | |
| | Not applicable. |
| | |
| (d) | Title of Class of Securities |
| | |
| | Common Stock |
| | |
| (e) | CUSIP Number |
| | |
| | 138006309 |
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 |
| | | | |
| 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); |
| | | | |
| | (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); |
| | | | |
| | (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 |
| | | | |
| 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 |
| | | | |
| 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 |
| | | | |
| 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 |
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: | 52,302,404 |
| | | |
| (b) | Percent of class: | 4.60% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 52,302,404 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 52,302,404 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For BTMU | |
| | | |
| (a) | Amount beneficially owned: | 6,363,414 |
| | | |
| (b) | Percent of class: | 0.56% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 6,363,414 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 6,363,414 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For KC | |
| | | |
| (a) | Amount beneficially owned: | 362,850 |
| | | |
| (b) | Percent of class: | 0.03% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 362,850 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 362,850 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For MUTB | |
| | | |
| (a) | Amount beneficially owned: | 43,349,350 |
| | | |
| (b) | Percent of class: | 3.81% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 43,349,350 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 43,349,350 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For MUI | |
| | | |
| (a) | Amount beneficially owned: | 376,700 |
| | | |
| (b) | Percent of class: | 0.03% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 376,700 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 376,700 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For MUAM | |
| | | |
| (a) | Amount beneficially owned: | 5,867,800 |
| | | |
| (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: | 5,867,800 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 5,867,800 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For MUAMUK | |
| | | |
| (a) | Amount beneficially owned: | 355,850 |
| | | |
| (b) | Percent of class: | 0.03% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 355,850 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 355,850 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For MUSHD | |
| | | |
| (a) | Amount beneficially owned: | 2,589,640 |
| | | |
| (b) | Percent of class: | 0.23% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 2,589,640 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 2,589,640 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For MUMSS | |
| | | |
| (a) | Amount beneficially owned: | 2,515,340 |
| | | |
| (b) | Percent of class: | 0.22% |
| | | |
| (c) | Number of shares as to which the person has: | |
| | | |
| | (i) Sole power to vote or to direct the vote: | 2,515,340 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 2,515,340 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
| | | |
| For KAM | | |
| | | |
| (a) | Amount beneficially owned: | 74,300 |
| | | |
| (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: | 74,300 |
| | | |
| | (ii) Shared power to vote or to direct the vote: | -0- |
| | | |
| | (iii) Sole power to dispose or to direct the disposition of: | 74,300 |
| | | |
| | (iv) Shared power to dispose or to direct the disposition of: | -0- |
ITEM 5 | Ownership of Five Percent or Less of a Class |
| |
| If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following: [√] |
| |
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 52,302,404 shares of the issuer indirectly through its subsidiaries as follows: |
| | |
| — | BTMU holds 6,363,414 shares, including indirectly through its subsidiary as follows; |
| | |
| | ・KC holds 362,850 shares |
| | |
| — | MUTB holds 43,349,350 shares, including indirectly through its subsidiaries as follows; |
| | |
| | ・MUI holds 376,700 shares |
| | |
| | ・MUAM holds 5,867,800 shares |
| | |
| | ・MUAMUK holds 355,850 shares |
| | |
| — | MUSHD holds 2,589,640 shares indirectly through its subsidiaries as follows; |
| | |
| | ・MUMSS holds 2,515,340 shares |
| | |
| | ・KAM holds 74,300 shares |
ITEM 8 | Identification and Classification of Members of the Group |
| |
| Not applicable. |
| |
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. |
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: | | |
| | | |
| 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.
| February 12, 2014 | |
| | | |
| | |
| The Bank of Tokyo-Mitsubishi UFJ, Ltd. | |
| | | |
| | | |
| By: | | |
| | | |
| Name: | | |
| | | |
| Title: | Chief 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.
| February 12, 2014 | |
| | | |
| | |
| kabu.com Securities Co., Ltd. | |
| | | |
| | | |
| By: | | |
| | | |
| Name: | | |
| | | |
| 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.
| February 12, 2014 | |
| | | |
| | |
| Mitsubishi UFJ Trust and Banking Corporation | |
| | | |
| | | |
| By: | | |
| | | |
| Name: | | |
| | | |
| Title: | General Manager of Assets Planning Division | |
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 | |
| | | |
| | |
| | |
| | | |
| | | |
| By: | | |
| | | |
| Name: | | |
| | | |
| Title: | | |
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: | | |
| | | |
| Name: | | |
| | | |
| 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.
| February 12, 2014 | |
| | | |
| | |
| Mitsubishi UFJ Asset Management (UK) Ltd. | |
| | | |
| | | |
| By: | | |
| | | |
| Name: | | |
| | | |
| Title: | | |
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: | | |
| | | |
| Name: | | |
| | | |
| Title: | Deputy General Manager of 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.
| February 12, 2014 | |
| | | |
| | |
| Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | |
| | | |
| | | |
| By: | | |
| | | |
| Name: | | |
| | | |
| Title: | Deputy General Manager of 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.
| February 12, 2014 | |
| | | |
| | |
| KOKUSAI Asset Management Co., Ltd. | |
| | | |
| | | |
| By: | | |
| | | |
| Name: | | |
| | | |
| Title: | General Manager, Investment Management Planning Dept. | |
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