Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 18)*
Honda Motor Co., Ltd.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
438128308
(CUSIP Number)
December 31, 2021
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☑: | Rule 13d-1(b) |
☐: | Rule 13d-1(c) |
☐: | Rule 13d-1(d) |
* The remainder of this cover page shall be filled out for a reporting persons 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. 438128308
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 |
5 | SOLE VOTING POWER
90,973,497 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
90,973,497 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
90,973,497 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.3% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
2
CUSIP NO. 438128308
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 |
5 | SOLE VOTING POWER
23,234,954 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
23,234,954 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
23,234,954 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.4% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
3
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
MUFG Union Bank, N.A. | |||||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b)
| |||||
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
54 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
54 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
54 | |||||
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
BK |
4
CUSIP NO. 438128308
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 |
5 | SOLE VOTING POWER
66,757,082 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
66,757,082 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
66,757,082 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.9% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
5
CUSIP NO. 438128308
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 |
5 | SOLE VOTING POWER
17,893,344 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
17,893,344 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,893,344 | |||||
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 |
6
CUSIP NO. 438128308
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 |
5 | SOLE VOTING POWER
359,838 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
359,838 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
359,838 | |||||
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 |
7
CUSIP NO. 438128308
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 |
5 | SOLE VOTING POWER
224,100 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
224,100 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
224,100 | |||||
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 |
8
CUSIP NO. 438128308
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 |
5 | SOLE VOTING POWER
981,461 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
981,461 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
981,461 | |||||
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 |
9
CUSIP NO. 438128308
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 |
5 | SOLE VOTING POWER
849,557 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
849,557 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
849,557 | |||||
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 |
10
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
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 |
5 | SOLE VOTING POWER
131,904 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
131,904 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
131,904 | |||||
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 |
11
CUSIP NO. 438128308
ITEM 1 |
||||||
(a) |
Name of Issuer |
|||||
Honda Motor Co., Ltd. |
||||||
(b) |
Address of Issuers Principal Executive Offices |
|||||
1-1 Minami-Aoyama 2-chome, Minato-ku, Tokyo 107-8556, Japan |
||||||
ITEM 2< /p> |
||||||
(a) |
Names of Persons Filing |
|||||
Mitsubishi UFJ Financial Group, Inc. (MUFG) |
||||||
MUFG Bank, Ltd. (MUBK) |
||||||
MUFG Union Bank, N.A. (MUB) |
||||||
Mitsubishi UFJ Trust and Banking Corporation (MUTB) |
||||||
Mitsubishi UFJ Kokusai Asset Management Co., Ltd. (MUKAM) |
||||||
First Sentier Investors Holdings Pty Ltd (FSIHD) |
||||||
MU Investments Co., Ltd. (MUI) |
||||||
Mitsubishi UFJ Securities Holdings Co., Ltd. (MUSHD) |
||||||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (MUMSS) |
||||||
au Kabucom Securities Co., Ltd. (KC) |
||||||
(b) |
Address of Principal Business Office or, if none, Residence |
|||||
MUFG : |
||||||
7-1 Marunouchi 2-chome, Chiyoda-ku |
||||||
Tokyo 100-8330, Japan |
||||||
MUBK : |
||||||
7-1 Marunouchi 2-chome, Chiyoda-ku |
||||||
Tokyo 100-8388, Japan |
||||||
MUB : |
||||||
350 California Street, San Francisco, |
||||||
California 94104, USA |
||||||
MUTB : |
||||||
4-5 Marunouchi 1-chome, Chiyoda-ku |
||||||
Tokyo 100-8212, Japan |
||||||
MUKAM : |
||||||
12-1 Yurakucho 1-chome, Chiyoda-ku |
||||||
Tokyo 100-0006, Japan |
12
CUSIP NO. 438128308
FSIHD : | ||||||
Level 5, Tower Three International Towers Sydney, 300 Barangaroo Avenue, | ||||||
Barangaroo, NSW, 2000, Australia | ||||||
MUI : | ||||||
3-11 Kandasurugadai 2-chome, Chiyoda-ku | ||||||
Tokyo 101-0062, Japan | ||||||
MUSHD : | ||||||
9-2, Otemachi 1-chome, Chiyoda-ku | ||||||
Tokyo 100-8127 , Japan | ||||||
MUMSS : | ||||||
9-2, Otemachi 1-chome, Chiyoda-ku | ||||||
Tokyo 100-8127 , Japan | ||||||
KC : | ||||||
3-2 Otemachi 1-chome, Chiyoda-ku | ||||||
Tokyo 100-0004, Japan | ||||||
(c) | Citizenship | |||||
MUFG, MUBK, MUTB, MUKAM, MUI, MUSHD, MUMSS and KC: Japan | ||||||
MUB: USA | ||||||
FSIHD: Commonwealth of Australia |
(d) |
Title of Class of Securities | |||||
Common Stock | ||||||
(e) |
CUSIP Number | |||||
438128308(this CUISIP number is for the issuers American Depository Shares, not the Common Stock) | ||||||
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); |
13
CUSIP NO. 438128308
(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 | ||||||
MUBK: |
(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 | ||||||
MUB: |
(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); |
14
CUSIP NO. 438128308
(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: Not applicable | ||||||
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). |
15
CUSIP NO. 438128308
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 | ||||||
MUKAM: |
(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 | ||||||
FSIHD: |
(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); |
16
CUSIP NO. 438128308
(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 | ||||||
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 | ||||||
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); |
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CUSIP NO. 438128308
(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: Securities holding company | ||||||
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 | ||||||
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); |
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CUSIP NO. 438128308
|
(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)[√] | & #xA0; | 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 | ||||||||
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: |
90,973,497 | |||||||
(b) Percent of class: |
5.30% | |||||||
(c) Number of shares as to which the person has: |
||||||||
(i) Sole power to vote or to direct the vote: |
90,973,497 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
90,973,497 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||
For MUBK |
||||||||
(a) Amount beneficially owned: |
23,234,954 | |||||||
(b) Percent of class: |
1.35% | |||||||
(c) Number of shares as to which the person has: |
||||||||
(i) Sole power to vote or to direct the vote: |
23,234,954 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
23,234,954 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
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CUSIP NO. 438128308
|
|
For MUB |
||||||
(a) |
Amount beneficially owned: |
54 | ||||||
td> | (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: |
54 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
54 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||
For MUTB |
||||||||
(a) |
Amount beneficially owned: |
66,757,082 | ||||||
(b) |
Percent of class: |
3.89% | ||||||
(c) |
Number of shares as to which the person has: |
|||||||
(i) Sole power to vote or to direct the vote: |
66,757,082 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
66,757,082 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||
For MUKAM |
||||||||
(a) |
Amount beneficially owned: |
17,893,344 | ||||||
(b) |
Percent of class: |
1.04% | ||||||
(c) |
Number of shares as to which the person has: |
|||||||
(i) Sole power to vote or to direct the vote: |
17,893,344 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
17,893,344 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||
For FSIHD |
||||||||
(a) |
Amount beneficially owned: |
359,838 | ||||||
(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: |
359,838 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
359,838 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
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CUSIP NO. 438128308
|
|
For MUI |
||||||
(a) |
Amount beneficially owned: |
224,100 | ||||||
(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: |
224,100 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
224,100 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||
For MUSHD |
||||||||
(a) |
Amount beneficially owned: |
981,461 | ||||||
(b) |
Percent of class: |
0.06% | ||||||
(c) |
Number of shares as to which the person has: |
|||||||
(i) Sole power to vote or to direct the vote: |
981,461 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
981,461 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||
For MUMSS |
||||||||
(a) |
Amount beneficially owned: |
849,557 | ||||||
(b) |
Percent of class: |
0.05% | ||||||
(c) |
Number of shares as to which the person has: |
|||||||
(i) Sole power to vote or to direct the vote: |
849,557 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
849,557 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||
For KC |
||||||||
(a) |
Amount beneficially owned: |
131,904 | ||||||
(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: |
131,904 | |||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||
(iii) Sole power to dispose or to direct the disposition of: |
131,904 | |||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
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CUSIP NO. 438128308
ITEM 5 |
Ownership of Five Percent or Less of a Class | |||||
& #xA0; |
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, 2021, MUFG beneficially owns 90,973,497 shares of the issuer indirectly through its subsidiaries as follows: MUBK holds 23,234,954 shares (indirectly through a subsidiary, MUB); MUTB holds 66,757,082 shares (indirectly through a subsidiary, MUKAM) (indirectly through a subsidiary, FSIHD) (indirectly through a subsidiary, MUI); MUSHD holds 981,461 shares (indirectly through a subsidiary, MUMSS); and (indirectly through a subsidiary, KC). Furthermore, FSIHD holds 359,838 shares (indirectly through a subsidiary, 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. |
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CUSIP NO. 438128308
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 8, 2022 | ||
Mitsubishi UFJ Financial Group, Inc. | ||
By: |
/s/ Riyuuichirou Sakuma | |
Name: |
Riyuuichirou Sakuma | |
Title: |
Managing Director, Deputy Head of Credit Policy & Planning Division |
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CUSIP NO. 438128308
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 8, 2022 | ||
MUFG Bank, Ltd. | ||
By: |
/s/ Riyuuichirou Sakuma | |
Name: |
Riyuuichirou Sakuma | |
Title: |
Managing Director, | |
Deputy Head of Credit Policy & Planning Division |
24
CUSIP NO. 438128308
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 8, 2022 | ||
MUFG Union Bank, N.A. | ||
By: |
/s/ David Pittman | |
Name: |
David Pittman | |
Title: |
Head of Investment Management and Trust, a business unit within MUFG Union Bank, N.A.s Wealth Management division |
25
CUSIP NO. 438128308
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 8, 2022 | ||
Mitsubishi UFJ Trust and Banking Corporation | ||
By: |
/s/ Kota Goto | |
Name: |
Kota Goto | |
Title: |
Joint General Manager, | |
Asset Management and Investor Services Planning Division |
26
CUSIP NO. 438128308
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 8, 2022 | ||
Mitsubishi UFJ Kokusai Asset Management Co., Ltd. | ||
By: |
/s/ Takashi Miyazaki | |
Name: |
Takashi Miyazaki | |
Title: |
Executive Officer, | |
General Manager of Risk Management Division |
27
CUSIP NO. 438128308
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 8, 2022 | ||
First Sentier Investors Holdings Pty Ltd | ||
By: |
/s/ Yutaka Kawakami | |
Name: |
Yutaka Kawakami | |
Title: |
Deputy CEO |
28
CUSIP NO. 438128308
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 8, 2022 | ||
MU Investments Co., Ltd. | ||
By: |
/s/ Minoru Nakaminami | |
Name: |
Minoru Nakaminami | |
Title: |
Senior Managing Director |
29
CUSIP NO. 438128308
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 8, 2022 | ||
Mitsubishi UFJ Securities Holdings Co.,Ltd. | ||
By: |
/s/ Riyuuichirou Sakuma | |
Name: |
Riyuuichirou Sakuma | |
Title: |
Chief Manager of Corporate Planning Division |
30
CUSIP NO. 438128308
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 8, 2022 | ||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | ||
By: |
/s/ Riyuuichirou Sakuma | |
Name: |
Riyuuichirou Sakuma | |
Title: |
Chief Manager of Corporate Planning Division |
31
CUSIP NO. 438128308
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 8, 2022 | ||
au Kabucom Securities Co., Ltd. | ||
By: |
/s/ Masato Watanabe | |
Name: |
Masato Watanabe | |
Title: |
Executive Officer Member of the Board | |
32