Sec Form 13G Filing - MITSUBISHI UFJ FINANCIAL GROUP INC filing for HONDA MOTOR CO ADR ONE COM (HMC) - 2020-02-13

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

  1      

  NAME OF REPORTING PERSON

  Mitsubishi UFJ Financial Group, Inc.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  106,676,770

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  106,676,770

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  106,676,770

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  6.1%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  MUFG Bank, Ltd.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  28,432,200

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  28,432,200

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  28,432,200

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  1.6%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  Mitsubishi UFJ Trust and Banking Corporation

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  77,073,274

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  77,073,274

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  77,073,274

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  4.4%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  Mitsubishi UFJ Kokusai Asset Management Co., Ltd.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  18,185,300

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  18,185,300

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  18,185,300

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  1.0%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  MU Investments Co., Ltd.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  219,900

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  219,900

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  219,900

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  0.0%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  Mitsubishi UFJ Asset Management (UK) Ltd.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  London, United Kingdom

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  1,900

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  1,900

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  1,900

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  0.0%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  First Sentier Investors Holdings Pty Ltd

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  New South Wales, Commonwealth of Australia

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  741,674

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  741,674

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  741,674

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  0.0%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  Mitsubishi UFJ Securities Holdings Co., Ltd.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  1,171,296

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  1,171,296

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  1,171,296

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  0.1%

12  &#x A0; 

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

  Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  1,012,892

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  1,012,892

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  1,012,892

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  0.1%

12    

  TYPE OF REPORTING PERSON

  FI

  1      

  NAME OF REPORTING PERSON

 &# xA0;au Kabucom Securities Co., Ltd.

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

  3    

  SEC USE ONLY

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Tokyo, Japan

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  158,404

  SHARED VOTING POWER

  -0-

  SOLE DISPOSITIVE POWER

  158,404

  SHARED DISPOSITIVE POWER

  -0-

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  158,404

10    

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  0.0%

12    

  TYPE OF REPORTING PERSON

  FI

ITEM  1

ITEM  3

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)[  ]

(h)[  ]

(i)[  ]

(j)[Ö]

(k)[  ]

MUBK:    

(a)[  ]

(b)[  ]

(c)[  ]

(d)[  ]

(e)[  ]

(f)[  ]

(g)[  ]

(h)[  ]

(i)[  ]

(j)[Ö]

(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

MUTB:    

(a)[  ]

(b)[  ]

(c)[  ]

(e)[  ]

(f)[  ]

(g)[  ]

(h)[  ]

(i)[  ]

(j)[Ö]

(k)[  ]

MUKAM:    

(a)[  ]

(b)[  ]

(c)[  ]

(d)[  ]

(e)[  ]

(f)[  ]

(g)[  ]

(j)[Ö]

(k)[  ]

(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)[Ö]

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).

ITEM 4

Ownership

   For MUFG

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For MUBK

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For MUTB

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For MUKAM

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For MUI

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For MUAMUK

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For FSIHD

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For MUSHD

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For MUMSS

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

   For KC

   (a)

Amount beneficially owned:

   (b)

Percent of class:

   (c)

Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

(ii) Shared power to vote or to direct the vote:

(iii) Sole power to dispose or to direct the disposition of:

(iv) Shared power to dispose or to direct the disposition of:

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, 2019, MUFG beneficially owns 106,676,770 shares of the issuer indirectly through its subsidiaries as follows: MUBK holds 28,432,200 shares; MUTB holds 77,073,274 shares (indirectly through a subsidiary, MUKAM) (indirectly through a subsidiary, MUI) (indirectly through a subsidiary, MUAMUK) (indirectly through a subsidiary, FSIHD); MUSHD holds 1,171,296 shares (indirectly through a subsidiary, MUMSS); and (indirectly through a subsidiary, KC). Furthermore, FSIHD holds 741,674 shares (indirectly through its subsidiaries as follows; First Sentier Investors (Australia) IM Ltd, First State Investments (Singapore) and First Sentier Investors Realindex Pty Ltd).

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 I certify that, to the best of my 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.