SCHEDULE 13G Amendment No. 4

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 4)*

Canon Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

138006309

(CUSIP Number)

December 31, 2016

(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 person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


CUSIP NO. 138006309

 

  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

 

65,539,457

  6     

SHARED VOTING POWER

 

-0-

  7     

SOLE DISPOSITIVE POWER

 

65,539,457

  8     

SHARED DISPOSITIVE POWER

 

-0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

65,539,457

10

 

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

 

11

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

6.0%

12

 

TYPE OF REPORTING PERSON

 

FI

 

2


CUSIP NO. 138006309

 

  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

 

6,000,634

  6     

SHARED VOTING POWER

 

-0-

  7     

SOLE DISPOSITIVE POWER

 

6,000,634

  8     

SHARED DISPOSITIVE POWER

 

-0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,000,634

10

 

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

 

11

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0.5%

12

 

TYPE OF REPORTING PERSON

 

FI

 

3


CUSIP NO. 138006309

 

  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

 

70

  6     

SHARED VOTING POWER

 

-0-

  7     

SOLE DISPOSITIVE POWER

 

70

  8     

SHARED DISPOSITIVE POWER

 

-0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

70

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. 138006309

 

  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

 

50,164,933

  6     

SHARED VOTING POWER

 

-0-

  7     

SOLE DISPOSITIVE POWER

 

50,164,933

  8     

SHARED DISPOSITIVE POWER

 

-0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

50,164,933

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. 138006309

 

  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

 

7,148,700

  6     

SHARED VOTING POWER

 

-0-

  7     

SOLE DISPOSITIVE POWER

 

7,148,700

  8     

SHARED DISPOSITIVE POWER

 

-0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

7,148,700

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. 138006309

 

  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

 

  141,800

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  141,800

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

141,800

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

 

7


CUSIP NO. 138006309

 

  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

 

  430,350

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  430,350

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

430,350

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. 138006309

 

  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

 

  9,373,890

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  9,373,890

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

9,373,890

10

 

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

 

11

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0.9%

12

 

TYPE OF REPORTING PERSON

 

FI

 

9


CUSIP NO. 138006309

 

  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

 

  9,138,773

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  9,138,773

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

9,138,773

10

 

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

 

11

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0.8%

12

 

TYPE OF REPORTING PERSON

 

FI

 

10


CUSIP NO. 138006309

 

  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

 

  235,117

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  235,117

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

235,117

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. 138006309

 

ITEM 1

       
  (a)             Name of Issuer   
     Canon Inc.   
  (b)    Address of Issuer’s Principal Executive Offices   
     30-2 Shimomaruko 3-chome, Ota-ku, Tokyo, 146-8501 Japan   

ITEM 2

       
  (a)    Names of Persons Filing   
     Mitsubishi UFJ Financial Group, Inc. (“MUFG”)   
     The Bank of Tokyo-Mitsubishi UFJ, Ltd. (“BTMU”)   
     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   
     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   

 

12


CUSIP NO. 138006309

 

  (c)    Citizenship
     Not applicable.
  (d)    Title of Class of Securities
     Common Stock
  (e)             CUSIP Number
     138006309

ITEM 3

     If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
  MUFG:        (a)[  ]   

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

     (b)[  ]   

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);

     (c)[  ]   

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

     (d)[  ]   

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

     (e)[  ]   

An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);

     (f)[  ]   

An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);

     (g)[  ]   

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

     (h)[  ]   

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

     (i)[  ]   

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

     (j)[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

 

13


CUSIP NO. 138006309

 

  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);

     (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

 

14


CUSIP NO. 138006309

 

  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. 138006309

 

  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);

     (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

 

16


CUSIP NO. 138006309

 

  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);

     (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

 

17


CUSIP NO. 138006309

 

  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

  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

 

18


CUSIP NO. 138006309

 

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:

   65,539,457
    

(b)

  

Percent of class:

   6.00%
    

(c)

  

Number of shares as to which the person has:

  
       

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

   65,539,457
       

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

   -0-
       

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

   65,539,457
       

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

   -0-
    

For BTMU

  
    

(a)

  

Amount beneficially owned:

   6,000,634
    

(b)

  

Percent of class:

   0.55%
    

(c)

  

Number of shares as to which the person has:

  
       

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

   6,000,634
       

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

   -0-
       

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

   6,000,634
       

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

   -0-

 

19


CUSIP NO. 138006309

 

    

For HCM

  
    

(a)

  

Amount beneficially owned:

   70
    

(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:

   70
       

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

   -0-
       

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

   70
       

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

   -0-
    

For MUTB

  
    

(a)

  

Amount beneficially owned:

   50,164,933
    

(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:

   50,164,933
       

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

   -0-
       

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

   50,164,933
       

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

   -0-
    

For MUKAM

  
    

(a)

  

Amount beneficially owned:

   7,148,700
    

(b)

  

Percent of class:

   0.65%
    

(c)

  

Number of shares as to which the person has:

  
       

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

   7,148,700
       

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

   -0-
       

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

   7,148,700
       

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

   -0-
    

For MUI

  
    

(a)

  

Amount beneficially owned:

   141,800
    

(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:

   141,800
       

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

   -0-
       

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

   141,800
       

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

   -0-

 

20


CUSIP NO. 138006309

 

    

For MUAMUK

  
    

(a)

  

Amount beneficially owned:

   430,350
    

(b)

  

Percent of class:

   0.04%
    

(c)

  

Number of shares as to which the person has:

  
       

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

   430,350
       

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

   -0-
       

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

   430,350
       

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

   -0-
    

For MUSHD

  
    

(a)

  

Amount beneficially owned:

   9,373,890
    

(b)

  

Percent of class:

   0.86%
    

(c)

  

Number of shares as to which the person has:

  
       

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

   9,373,890
       

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

   -0-
       

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

   9,373,890
       

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

   -0-
    

For MUMSS

  
    

(a)

  

Amount beneficially owned:

   9,138,773
    

(b)

  

Percent of class:

   0.84%
    

(c)

  

Number of shares as to which the person has:

  
       

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

   9,138,773
       

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

   -0-
       

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

   9,138,773
       

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

   -0-
    

For KC

  
    

(a)

  

Amount beneficially owned:

   235,117
    

(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:

   235,117
       

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

   -0-
       

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

   235,117
       

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

   -0-

 

21


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, 2016, MUFG beneficially owns 65,539,457 shares of the issuer indirectly through its subsidiaries as follows: BTMU holds 6,000,634 shares (indirectly through a subsidiary, HCM); MUTB holds 50,164,933 shares (indirectly through a subsidiary, MUKAM) (indirectly through a subsidiary, MUI) (indirectly through a subsidiary, MUAMUK); MUSHD holds 9,373,890 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.

 

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 14, 2017

Mitsubishi UFJ Financial Group, Inc.

By:

 

/s/ Hikaru Umehara

Name:

 

Hikaru Umehara

Title:

 

Chief Manager, Credit & Investment Management 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 14, 2017

The Bank of Tokyo-Mitsubishi UFJ, Ltd.

By:

 

/s/ Hikaru Umehara

Name:

 

Hikaru Umehara

Title:

 

Chief Manager, Credit & Investment 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 14, 2017

HighMark Capital Management, Inc.

By:

 

/s/ David B. Wines

Name:

 

David B. Wines

Title:

 

Chairman, President and CEO

 

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 14, 2017

Mitsubishi UFJ Trust and Banking Corporation

By:

 

/s/ Takayuki Yasuda

Name:

 

Takayuki Yasuda

Title:

 

Executive Officer and General Manager, Trust Assets Planning Division

 

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 14, 2017

Mitsubishi UFJ Kokusai Asset Management Co., Ltd.

By:

 

/s/ Hidemichi Kanesawa

Name:

 

Hidemichi Kanesawa

Title:

 

General Manager of Risk Management 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 14, 2017

MU Investments Co., Ltd.

By:

 

/s/ Yasuhiko Haraguchi

Name:

  Yasuhiko Haraguchi

Title:

  Director

 

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 14, 2017

Mitsubishi UFJ Asset Management (UK) Ltd.

By:

 

/s/ Yasunari Sonobe

Name:

  Yasunari Sonobe

Title:

  Managing Director & CE

 

29


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 14, 2017

Mitsubishi UFJ Securities Holdings Co.,Ltd.

By:

 

/s/ Morio Hara

Name:

  Morio Hara

Title:

  Deputy General Manager of Corporate Planning Division

 

30


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 14, 2017

Mitsubishi UFJ Morgan Stanley Securities Co., Ltd.

By:

 

/s/ Morio Hara

Name:

  Morio Hara

Title:

  Deputy General Manager of Corporate Planning Division

 

31


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 14, 2017

kabu.com Securities Co., Ltd.

By:

 

/s/ Takeshi Amemiya

Name:

  Takeshi Amemiya

Title:

  Senior Managing Executive Officer, CFO

 

32