UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 14)*
Honda Motor Co., Ltd.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
438128308
(CUSIP Number)
December 31, 2017
(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
118,152,820 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
118,152,820 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
118,152,820 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.6% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
2
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
The Bank of Tokyo-Mitsubishi UFJ, 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
31,183,801 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
31,183,801 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
31,183,801 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.7% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
3
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
HighMark Capital Management, Inc. | |||||
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
101 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
101 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
101 | |||||
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
IA |
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
82,662,800 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
82,662,800 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
82,662,800 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.6% | |||||
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
12,383,000 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
12,383,000 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,383,000 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.7% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
6
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
248,200 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
248,200 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
248,200 | |||||
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
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 |
5 | SOLE VOTING POWER
195,800 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
195,800 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
195,800 | |||||
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
4,306,219 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
4,306,219 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,306,219 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.2% | |||||
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
4,194,019 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
4,194,019 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,194,019 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
| |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.2% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
10
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
kabu.com 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
112,200 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
112,200 | |||||
8 | SHARED DISPOSITIVE POWER
-0- |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
112,200 | |||||
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 |
||||||||||
(a) | Names of Persons Filing | |||||||||
Mitsubishi UFJ Financial Group, Inc. (MUFG) | ||||||||||
The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU) | ||||||||||
HighMark Capital Management, Inc. (HCM) | ||||||||||
Mitsubishi UFJ Trust and Banking Corporation (MUTB) | ||||||||||
Mitsubishi UFJ Kokusai Asset Management Co., Ltd. (MUKAM) | ||||||||||
MU Investments Co., Ltd. (MUI) | ||||||||||
Mitsubishi UFJ Asset Management (UK) Ltd. (MUAMUK) | ||||||||||
Mitsubishi UFJ Securities Holdings Co.,Ltd. (MUSHD) | ||||||||||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (MUMSS) | ||||||||||
kabu.com 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 | ||||||||||
BTMU : | ||||||||||
7-1 Marunouchi 2-chome, Chiyoda-ku | ||||||||||
Tokyo 100-8388, Japan | ||||||||||
HCM : | ||||||||||
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
MUI : | ||||||||||
3-11 Kandasurugadai 2-chome, Chiyoda-ku | ||||||||||
Tokyo 101-0062, Japan | ||||||||||
MUAMUK : | ||||||||||
24 Lombard Street, London, EC3V 9AJ, | ||||||||||
United Kingdom | ||||||||||
MUSHD : | ||||||||||
5-2, Marunouchi 2-chome, Chiyoda-ku | ||||||||||
Tokyo 100-0005 , Japan | ||||||||||
MUMSS : | ||||||||||
5-2, Marunouchi 2-chome, Chiyoda-ku | ||||||||||
Tokyo 100-0005 , Japan | ||||||||||
KC : | ||||||||||
3-2 Otemachi 1-chome, Chiyoda-ku | ||||||||||
Tokyo 100-0004, Japan |
(c) | Citizenship | |||||||
Not applicable. | ||||||||
(d) | Title of Class of Securities | |||||||
Common Stock | ||||||||
(e) | CUSIP Number | |||||||
438128308 | ||||||||
ITEM 3 |
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | |||||||
MUFG: | (a)[ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | ||||||
(b)[ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); | |||||||
(c)[ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | |||||||
(d)[ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | |||||||
(e)[ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); | |||||||
(f)[ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); | |||||||
(g)[ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
13
CUSIP NO. 438128308
(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: Parent holding company | ||||||||
BTMU: | (a)[ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | ||||||
(b)[ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); | |||||||
(c)[ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | |||||||
(d)[ ] |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | |||||||
(e)[ ] |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); | |||||||
(f)[ ] |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); | |||||||
(g)[ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); | |||||||
(h)[ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |||||||
(i)[ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | |||||||
(j)[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 | ||||||||
HCM: | (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); |
14
CUSIP NO. 438128308
(e)[Ö] | 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)[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 |
15
CUSIP NO. 438128308
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 | ||||||||
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); |
16
CUSIP NO. 438128308
(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 | ||||||||
MUAMUK: | (a)[ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | ||||||
(b)[ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); | |||||||
(c)[ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | |||||||
(d)[ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | |||||||
(e)[ ] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); | |||||||
(f)[ ] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); | |||||||
(g)[ ] | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); | |||||||
(h)[ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |||||||
(i)[ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | |||||||
(j)[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 | ||||||||
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); |
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CUSIP NO. 438128308
(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); | |||||||
(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 |
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CUSIP NO. 438128308
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: |
118,152,820 | ||||||||
(b) |
Percent of class: |
6.56% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
118,152,820 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
118,152,820 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For BTMU |
||||||||||
(a) |
Amount beneficially owned: |
31,183,801 | ||||||||
(b) |
Percent of class: |
1.73% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
31,183,801 |
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CUSIP NO. 438128308
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
31,183,801 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For HCM |
||||||||||
(a) |
Amount beneficially owned: |
101 | ||||||||
(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: |
101 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
101 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUTB |
||||||||||
(a) |
Amount beneficially owned: |
82,662,800 | ||||||||
(b) |
Percent of class: |
4.59% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
82,662,800 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
82,662,800 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUKAM |
||||||||||
(a) |
Amount beneficially owned: |
12,383,000 | ||||||||
(b) | Percent of class: | 0.69% | ||||||||
(c) | Number of shares as to which the person has: | |||||||||
(i) Sole power to vote or to direct the vote: | 12,383,000 | |||||||||
(ii) Shared power to vote or to direct the vote: | -0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: | 12,383,000 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: | -0- | |||||||||
|
For MUI |
|||||||||
(a) |
Amount beneficially owned: |
248,200 | ||||||||
(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: |
248,200 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
248,200 |
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CUSIP NO. 438128308
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
|
For MUAMUK |
|||||||||
(a) |
Amount beneficially owned: |
195,800 | ||||||||
(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: |
195,800 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
195,800 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUSHD |
||||||||||
(a) |
Amount beneficially owned: |
4,306,219 | ||||||||
(b) | Percent of class: |
0.24% | ||||||||
(c) | Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
4,306,219 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
4,306,219 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUMSS |
||||||||||
(a) |
Amount beneficially owned: |
4,194,019 | ||||||||
(b) | Percent of class: |
0.23% | ||||||||
(c) | Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
4,194,019 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
4,194,019 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For KC |
||||||||||
(a) |
Amount beneficially owned: |
112,200 | ||||||||
(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: |
112,200 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
112,200 | |||||||||
(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 | |||||||||
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, 2017, MUFG beneficially owns 118,152,820 shares of the issuer indirectly through its subsidiaries as follows: BTMU holds 31,183,801 shares (indirectly through a subsidiary, HCM); MUTB holds 82,662,800 shares (indirectly through a subsidiary, MUKAM) (indirectly through a subsidiary, MUI) (indirectly through a subsidiary, MUAMUK); MUSHD holds 4,306,219 shares (indirectly through a subsidiary, MUMSS); an (indirectly through a subsidiary, KC). | ||||||||||
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 14, 2018 | ||
Mitsubishi UFJ Financial Group, Inc. | ||
By: |
/s/ Hikaru Umehara | |
Name: |
Hikaru Umehara | |
Title: |
Chief Manager, Credit Risk Management Office, 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 14, 2018 | ||
The Bank of Tokyo-Mitsubishi UFJ, Ltd. | ||
By: |
/s/ Hikaru Umehara | |
Name: |
Hikaru Umehara | |
Title: |
Chief Manager, Credit Risk Management Office, 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 14, 2018 | ||
HighMark Capital Management, Inc. | ||
By: |
/s/ David B. Wines | |
Name: |
David B. Wines | |
Title: |
Chairman, President and CEO |
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 14, 2018 | ||
Mitsubishi UFJ Trust and Banking Corporation | ||
By: |
/s/ Takayuki Yasuda | |
Name: |
Takayuki Yasuda | |
Title: |
General Manager of Trust Assets Planning |
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 14, 2018 | ||
Mitsubishi UFJ Kokusai Asset Management Co., Ltd. | ||
By: |
/s/ Hidemichi Kanesawa | |
Name: |
Hidemichi Kanesawa | |
Title: |
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 14, 2018 | ||
MU Investments Co., Ltd. | ||
By: |
/s/ Yasuhiko Haraguchi | |
Name: |
Yasuhiko Haraguchi | |
Title: |
Director |
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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 14, 2018 | ||
Mitsubishi UFJ Asset Management (UK) Ltd. | ||
By: |
/s/ Yasunari Sonobe | |
Name: |
Yasunari Sonobe | |
Title: |
Managing Director & CE |
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 14, 2018 | ||
Mitsubishi UFJ Securities Holdings Co., Ltd. | ||
By: |
/s/ Morio Hara | |
Name: |
Morio Hara | |
Title: |
Deputy General 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 14, 2018 | ||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | ||
By: |
/s/ Morio Hara | |
Name: |
Morio Hara | |
Title: |
Deputy General Manager of Corporate 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 14, 2018 | ||
kabu.com Securities Co., Ltd. | ||
By: |
/s/ Takeshi Amemiya | |
Name: |
Takeshi Amemiya | |
Title: |
General Manager of Corporate Administration |
32