Amended Statement of Ownership (sc 13g/a)
13 Februar 2020 - 1:20PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the
Securities Exchange Act of 1934
(Amendment No. 7)*
Canon Inc.
(Name of
Issuer)
Common Stock
(Title of Class of Securities)
138006309
(CUSIP Number)
December 31, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
* 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. 138006309
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1
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NAME OF REPORTING PERSON
Mitsubishi UFJ Financial Group, Inc.
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
59,352,952
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
59,352,952
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
59,352,952
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.6%
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12
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TYPE OF
REPORTING PERSON
FI
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2
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
MUFG Bank, Ltd.
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
6,000,564
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
6,000,564
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,000,564
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.6%
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12
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TYPE OF
REPORTING PERSON
FI
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3
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
Mitsubishi UFJ Trust and Banking Corporation
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
49,620,636
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
49,620,636
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
49,620,636
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.7%
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12
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TYPE OF
REPORTING PERSON
FI
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4
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
Mitsubishi UFJ Kokusai Asset Management Co., Ltd.
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
10,409,700
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
10,409,700
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10,409,700
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.0%
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12
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TYPE OF
REPORTING PERSON
FI
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5
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
MU Investments Co., Ltd.
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
108,400
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
108,400
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
108,400
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0%
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12
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TYPE OF
REPORTING PERSON
FI
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6
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
First Sentier Investors Holdings Pty Ltd
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
New South Wales, Commonwealth of Australia
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
214,853
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
214,853
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
214,853
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0%
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12
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TYPE OF
REPORTING PERSON
FI
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7
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
Mitsubishi UFJ Securities Holdings Co., Ltd.
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
3,731,752
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
3,731,752
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,731,752
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.4%
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12
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TYPE OF
REPORTING PERSON
FI
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8
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
3,431,785
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
3,431,785
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,431,785
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.3%
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12
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TYPE OF
REPORTING PERSON
FI
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9
CUSIP NO. 138006309
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1
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NAME OF REPORTING PERSON
au Kabucom Securities Co., Ltd.
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2
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CHECK THE
APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
(b)
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3
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SEC USE
ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
299,967
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6
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SHARED VOTING
POWER
-0-
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7
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SOLE DISPOSITIVE
POWER
299,967
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8
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SHARED DISPOSITIVE POWER
-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
299,967
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10
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CHECK IF
THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11
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PERCENT OF
CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0%
|
12
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TYPE OF
REPORTING PERSON
FI
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10
CUSIP NO. 138006309
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ITEM 1
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(a)
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Name of Issuer
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Canon Inc.
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(b)
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Address of Issuers Principal Executive Offices
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30-2 Shimomaruko 3-chome, Ota-ku, Tokyo,
146-8501 Japan
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ITEM 2
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(a)
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Names of Persons Filing
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Mitsubishi UFJ Financial Group, Inc. (MUFG)
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MUFG Bank, Ltd. (MUBK)
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Mitsubishi UFJ Trust and Banking Corporation (MUTB)
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Mitsubishi UFJ Kokusai Asset Management Co., Ltd. (MUKAM)
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MU Investments Co., Ltd. (MUI)
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First Sentier Investors Holdings Pty Ltd (FSIHD)
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Mitsubishi UFJ Securities Holdings Co., Ltd. (MUSHD)
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Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (MUMSS)
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au Kabucom Securities Co., Ltd. (KC)
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(b)
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Address of Principal Business Office or, if none, Residence
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MUFG :
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7-1 Marunouchi 2-chome, Chiyoda-ku
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Tokyo 100-8330, Japan
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MUBK :
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7-1 Marunouchi 2-chome, Chiyoda-ku
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Tokyo 100-8388, Japan
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MUTB :
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4-5 Marunouchi 1-chome, Chiyoda-ku
Tokyo 100-8212, Japan
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MUKAM :
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12-1 Yurakucho 1-chome, Chiyoda-ku
Tokyo 100-0006, Japan
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MUI :
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3-11 Kandasurugadai 2-chome,
Chiyoda-ku
Tokyo 101-0062, Japan
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11
CUSIP NO. 138006309
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FSIHD :
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Level 5, Tower Three International Towers Sydney, 300 Barangaroo Avenue,
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Barangaroo, NSW, 2000, Australia
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MUSHD :
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5-2, Marunouchi 2-chome, Chiyoda-ku
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Tokyo 100-0005 , Japan
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MUMSS :
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5-2, Marunouchi
2-chome, Chiyoda-ku
Tokyo 100-0005 , Japan
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KC :
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3-2 Otemachi 1-chome, Chiyoda-ku
Tokyo 100-0004, Japan
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(c)
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Citizenship
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MUFG, MUBK, MUTB, MUKAM, MUI, MUSHD, MUMSS and KC: Japan
FSIHD: Commonwealth of Australia
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(d)
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Title of Class of Securities
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Common Stock
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(e)
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CUSIP Number
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138006309 (this CUISIP number is for the issuers
American Depository Shares, not the Common Stock)
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ITEM 3
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If this statement is filed pursuant to §§
240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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MUFG:
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(a)[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C.
78o);
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(b)[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)[ ]
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C.
78c);
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(d)[ ]
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Investment company registered under section 8 of the Investment Company Act of 1940
(15 U.S.C. 80a-8);
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(e)[ ]
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An investment adviser in accordance with §
240.13d-1(b)(1)(ii)(E);
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(f)[ ]
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An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
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(g)[ ]
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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12
CUSIP NO. 138006309
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(h)[ ]
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.
1813);
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(i)[ ]
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
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(j)[Ö]
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A non-U.S. institution in accordance with §
240.13d-1(b)(1)(ii)(J);
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(k)[ ]
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Group, in accordance with § 240.13d-1(b)(1)(ii)(K).
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If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Parent holding company
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MUBK:
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(a)[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)[ ]
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)[ ]
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)[ ]
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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).
|
|
|
|
|
|
|
|
If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of
institution: Bank
|
|
|
|
|
|
|
MUTB:
|
|
(a)[ ]
|
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
|
|
|
(b)[ ]
|
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
|
(c)[ ]
|
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
|
|
|
(d)[ ]
|
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
13
CUSIP NO. 138006309
|
|
|
|
|
|
|
|
|
|
|
(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).
|
|
|
|
|
|
|
|
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)[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).
|
|
|
|
|
|
|
|
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
|
14
CUSIP NO. 138006309
|
|
|
|
|
|
|
|
|
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)[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).
|
|
|
|
|
|
|
|
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);
|
|
|
|
|
|
|
|
|
(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);
|
15
CUSIP NO. 138006309
|
|
|
|
|
|
|
|
|
|
|
(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
|
|
|
|
|
|
|
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)[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).
|
|
|
|
|
|
|
|
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);
|
16
CUSIP NO. 138006309
|
|
|
|
|
|
|
|
|
|
|
(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).
|
|
|
|
|
|
|
|
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);
|
|
|
|
|
|
|
|
|
(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).
|
|
|
|
|
|
|
|
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:
|
|
59,352,952
|
|
|
|
|
|
|
|
|
|
(b)
|
|
Percent of class:
|
|
5.58%
|
|
|
|
|
|
|
|
|
|
(c)
|
|
Number of shares as to which the person has:
|
|
|
17
CUSIP NO. 138006309
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
|
59,352,952
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
59,352,952
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For MUBK
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
6,000,564
|
|
|
|
|
|
|
|
|
|
(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:
|
|
6,000,564
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
6,000,564
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For MUTB
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
49,620,636
|
|
|
|
|
|
|
|
|
|
(b)
|
|
Percent of class:
|
|
4.66%
|
|
|
|
|
|
|
|
|
|
(c)
|
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
|
49,620,636
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
49,620,636
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For MUKAM
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
10,409,700
|
|
|
|
|
|
|
|
|
|
(b)
|
|
Percent of class:
|
|
0.98%
|
|
|
|
|
|
|
|
|
|
(c)
|
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
|
10,409,700
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
10,409,700
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For MUI
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
108,400
|
|
|
|
|
|
|
|
|
|
(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:
|
|
108,400
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
18
CUSIP NO. 138006309
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
108,400
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For FSIHD
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
214,853
|
|
|
|
|
|
|
|
|
|
(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:
|
|
214,853
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
214,853
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For MUSHD
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
3,731,752
|
|
|
|
|
|
|
|
|
|
(b)
|
|
Percent of class:
|
|
0.35%
|
|
|
|
|
|
|
|
|
|
(c)
|
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
|
3,731,752
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
3,731,752
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For MUMSS
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
3,431,785
|
|
|
|
|
|
|
|
|
|
(b)
|
|
Percent of class:
|
|
0.32%
|
|
|
|
|
|
|
|
|
|
(c)
|
|
Number of shares as to which the person has:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
(i) Sole power to vote or to direct the vote:
|
|
3,431,785
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
3,431,785
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
|
|
|
|
|
|
|
|
For KC
|
|
|
|
|
|
|
|
|
|
|
|
(a)
|
|
Amount beneficially owned:
|
|
299,967
|
|
|
|
|
|
|
|
|
|
(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:
|
|
299,967
|
|
|
|
|
|
|
|
|
|
|
|
(ii) Shared power to vote or to direct the vote:
|
|
-0-
|
|
|
|
|
|
|
|
|
|
|
|
(iii) Sole power to dispose or to direct the disposition of:
|
|
299,967
|
|
|
|
|
|
|
|
|
|
|
|
(iv) Shared power to dispose or to direct the disposition of:
|
|
-0-
|
19
CUSIP NO. 138006309
|
|
|
|
|
|
|
|
|
|
|
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 59,352,952 shares of the issuer indirectly through its
subsidiaries as follows: MUBK holds 6,000,564 shares; MUTB holds 49,620,636 shares (indirectly through a subsidiary, MUKAM) (indirectly through a subsidiary, MUI) (indirectly through a subsidiary, FSIHD); MUSHD holds 3,731,752 shares (indirectly
through a subsidiary, MUMSS); and (indirectly through a subsidiary, KC). Furthermore, FSIHD holds 214,853 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.
|
20
CUSIP NO. 138006309
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 13, 2020
|
|
Mitsubishi UFJ Financial Group, Inc.
|
|
|
By:
|
|
/s/ Riyuuichirou Sakuma
|
|
|
Name:
|
|
Riyuuichirou Sakuma
|
|
|
Title:
|
|
Managing Director,
Deputy Head of Credit Policy & Planning Division
|
21
CUSIP NO. 138006309
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 13, 2020
|
|
MUFG Bank, Ltd.
|
|
|
By:
|
|
/s/ Riyuuichirou Sakuma
|
|
|
Name:
|
|
Riyuuichirou Sakuma
|
|
|
Title:
|
|
Managing Director,
Deputy Head of Credit Policy & Planning Division
|
22
CUSIP NO. 138006309
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 13, 2020
|
|
Mitsubishi UFJ Trust and Banking Corporation
|
|
|
By:
|
|
/s/ Masahiro Saruta
|
|
|
Name:
|
|
Masahiro Saruta
|
|
|
Title:
|
|
Managing Executive Officer and General Manager,
Asset Management and Investor Services Planning Division
|
23
CUSIP NO. 138006309
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 13, 2020
|
|
Mitsubishi UFJ Kokusai Asset Management Co., Ltd.
|
|
|
By:
|
|
/s/ Takashi Miyazaki
|
|
|
Name:
|
|
Takashi Miyazaki
|
|
|
Title:
|
|
General Manager of Risk Management Division
|
24
CUSIP NO. 138006309
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 13, 2020
|
|
MU Investments Co., Ltd.
|
|
|
By:
|
|
/s/ Yasuhiko Haraguchi
|
|
|
Name:
|
|
Yasuhiko Haraguchi
|
|
|
Title:
|
|
Director
|
25
CUSIP NO. 138006309
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 13, 2020
|
|
First Sentier Investors Holdings Pty Ltd
|
|
|
By:
|
|
/s/ Yutaka Kawakami
|
|
|
Name:
|
|
Yutaka Kawakami
|
|
|
Title:
|
|
Deputy CEO
|
26
CUSIP NO. 138006309
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 13, 2020
|
|
Mitsubishi UFJ Securities Holdings Co., Ltd.
|
|
|
By:
|
|
/s/ Morio Hara
|
|
|
Name:
|
|
Morio Hara
|
|
|
Title:
|
|
Deputy General Manager of Corporate Planning Division
|
27
CUSIP NO. 138006309
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 13, 2020
|
|
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.
|
|
|
By:
|
|
/s/ Morio Hara
|
|
|
Name:
|
|
Morio Hara
|
|
|
Title:
|
|
Deputy General Manager of Corporate Planning Division
|
28
CUSIP NO. 138006309
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 13, 2020
|
|
au Kabucom Securities Co., Ltd.
|
|
|
By:
|
|
/s/ Tsunehisa Uehara
|
|
|
Name:
|
|
Tsunehisa Uehara
|
|
|
Title:
|
|
Senior Executive Officer, Member of the Board
|
29
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