Smartgroup : Change in substantial holding from MUFG

March 09, 2022 at 01:31 am

Form604

only

To: Company Name/Scheme:

ACN/ARSN

1. Details of substantial holder

Name

There was a change in the interests of the substantial holder on

The previous notice was given to the company on

The previous notice was dated

The holder became aware on

2. Previous and present voting power

Form 604

Corporations Act 2001

Section 671B

Notice of change of interests of substantial holder

Smartgroup Corporation Ltd

126 266 831

Mitsubishi UFJ Financial Group, Inc.

4 March 2022

15 September 2021

8 March 2022

The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate had a relevant interest in when last required, and when now required, to give a substantial holding notice to the company or scheme are as follows:

use

Class of securities		Previous notice		Present notice
Fully Paid ordinary shares		9,116,918	6.83%
3. Changes in relevant interest
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of
the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are
as follows:
Date of	Person whose		Consideration given in	Class and number
relevant interest	Nature of change	of securities
change	relation to change
changed		affected

See annexure A to this notice

4.Present relevant interests

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:

7,762,828

Person's votes affected

5.81%

For personal

Holder of	Registered holder	Person entitled to be
relevant
of securities	registered as holder
interest

Mitsubishi UFJ Financial	Unknown	Not applicable
Group, Inc.

Mitsubishi UFJ Financial	Citibank N A Hong Kong	Not applicable
Group, Inc.

Mitsubishi UFJ Financial	Citicorp Nominees Pty	Not applicable
Group, Inc.	Limited (Australia)

Mitsubishi UFJ Financial	HSBC Bank Australia	Not applicable
Group, Inc.	Limited

Mitsubishi UFJ Financial	JPMorgan (UK)	Not applicable
Group, Inc.

Mitsubishi UFJ Financial	National Custodian	Not applicable
Group, Inc.	Services

Mitsubishi UFJ Financial	Citibank N A Hong Kong	Not applicable
Group, Inc.

Mitsubishi UFJ Financial	Citicorp Nominees Pty	Not applicable
Group, Inc.	Limited (Australia)

Nature of relevant interest

Relevant interest in securities that First Sentier Investors Holdings Pty Limited has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of 100% in First Sentier Investors Holdings Pty Limited.

Class and number	Person's votes
of securities

15,233 Fully paid ordinary shares

1,105,978 Fully paid ordinary shares

308,166 Fully paid ordinary shares

306,096 Fully paid ordinary shares

701,627 Fully paid ordinary shares

175,923 Fully paid ordinary shares

1,105,675 Fully paid ordinary shares

2,405,114 Fully paid ordinary shares

15,233

1,105,978

308,166

306,096

701,627

175,923

1,105,675

2,405,114

Page 1

use only

Mitsubishi UFJ Financial	Northern Trust Company	Not applicable
Group, Inc.

Mitsubishi UFJ Financial	State Street Global
Advisors (Australia)	Not applicable
Group, Inc.
Limited

Mitsubishi UFJ Financial	HSBC Custody Nominees	Not applicable
Group, Inc.	(Australia) Limited

Mitsubishi UFJ Financial	Morgan Stanley Australia
Securities (Nominee) Pty	Not applicable
Group, Inc.
Limited

Mitsubishi UFJ Financial	HSBC Custody Nominees	Not applicable
Group, Inc.	(Australia) Limited

Mitsubishi UFJ Financial	Unknown	Not applicable
Group, Inc.

5. Changes in association

Form604

Relevant interest in securities that Morgan Stanley has a relevant interest in under section 608(3) of the Corporations Act as Mitsubishi UFJ Financial Group, Inc. has voting power of over 20% in Morgan Stanley.

683,227 Fully paid ordinary shares

595,163 Fully paid ordinary shares

6,238 Fully paid ordinary shares

273,588 Fully paid ordinary shares

584 Fully paid ordinary shares

80,216 Fully paid ordinary shares

6,238

273,588

584

80,216

683,227

595,163

For personal

The persons who have become associates of, ceased to be associates of, or have changed the nature of their association with, the substantial holder in relation to voting interests in the company or scheme are as follows:

Name and ACN/ARSN (if applicable)

Nature of association

Not Applicable

6. Addresses
The addresses of persons named in this form are as follows:
Name	Address
Mitsubishi UFJ Financial Group, Inc.	2-7-1, Marunouchi, Chiyoda-ku, Tokyo 100-8330, Japan
Signature

Dated 9 March 2022

Authorised signatory

Page 2

only

AnnexureA

Annexure A

This is annexure A of 352 pages referred to in Form 604, Notice of change of interest of substantial holder dated 9 March 2022

Authorised signatory

Dated 9 March 2022

For personal use

	Person whose relevant interest
Date of change	changed
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.
13/09/2021	Mitsubishi UFJ Financial Group, Inc.

Nature of change

Purchase of securities by an entity controlled by Morgan Stanley

Sale of securities by an entity controlled by Morgan Stanley

Consideration given in	Class and number of
relation to change	securities affected

15.48 2 Fully Paid ordinary shares

5 Fully Paid ordinary shares

35 Fully Paid ordinary shares

48 Fully Paid ordinary shares

48 Fully Paid ordinary shares

689.04 88 Fully Paid ordinary shares

1,012.70	130	Fully Paid ordinary
	shares

1,123.20	144	Fully Paid ordinary
	shares

1,244.97	159	Fully Paid ordinary
	shares

1,381.28	178	Fully Paid ordinary
	shares

3,084.95	395	Fully Paid ordinary
	shares

3,894.36	498	Fully Paid ordinary
	shares

5,068.69	649	Fully Paid ordinary
	shares

6,271.43	803	Fully Paid ordinary
	shares

9,523.80	1,221	Fully Paid ordinary
	shares

9,947.04	1,272	Fully Paid ordinary
	shares

18,783.64	2,402	Fully Paid ordinary
	shares

27,174.50	3,475	Fully Paid ordinary
	shares

7.60	1 Fully Paid ordinary share

2 Fully Paid ordinary shares

19 Fully Paid ordinary shares

37 Fully Paid ordinary shares

50 Fully Paid ordinary shares

58 Fully Paid ordinary shares

62 Fully Paid ordinary shares

63 Fully Paid ordinary shares

Person's

votes

affected

130

144

159

178

395

498

649

803

1,221

1,272

2,402

3,475

Page 3

personal use only

13/09/2021 Mitsubishi UFJ Financial Group, Inc.

14/09/2021 Mitsubishi UFJ Financial Group, Inc.

AnnexureA

Sale of securities by an entity controlled by Morgan Stanley

Purchase of securities by an entity controlled by First Sentier Investors Holdings Pty Ltd

830.86

925.20

936.60

969.68

1,019.04

1,022.11

1,074.94

1,085.70

1,111.86

1,117.55

1,186.52

1,527.60

1,548.40

1,568.00

1,802.39

1,938.12

2,398.73

3,640.40

7,364.40

7,881.20

9,743.20

26,044.53

53,402.56

341,843.21

748,910.44

72,389.96

107 Fully Paid ordinary shares

120 Fully Paid ordinary shares

124 Fully Paid ordinary shares

132 Fully Paid ordinary shares

133 Fully Paid ordinary shares

142 Fully Paid ordinary shares

140 Fully Paid ordinary shares

142 Fully Paid ordinary shares

143 Fully Paid ordinary shares

153 Fully Paid ordinary shares

201 Fully Paid ordinary shares

196 Fully Paid ordinary shares

200 Fully Paid ordinary shares

237 Fully Paid ordinary shares

248 Fully Paid ordinary shares

315 Fully Paid ordinary shares

479 Fully Paid ordinary shares

969 Fully Paid ordinary shares

1,037 Fully Paid ordinary shares

1,282 Fully Paid ordinary shares

3351 Fully Paid ordinary shares

6871 Fully Paid ordinary shares

43983 Fully Paid ordinary shares

96358 Fully Paid ordinary shares

9314 Fully Paid ordinary shares

107

120

124

132

133

142

140

142

143

153

201

196

200

237

248

315

479

969

1,037

1,282

3,351

6,871

43,983

96,358

9,314

For

14/09/2021 Mitsubishi UFJ Financial Group, Inc.

Purchase of securities by an entity controlled by Morgan Stanley

29 Fully Paid ordinary shares

40 Fully Paid ordinary shares

68 Fully Paid ordinary shares

604.84 77 Fully Paid ordinary shares

813.28 104 Fully Paid ordinary shares

978.13 125 Fully Paid ordinary shares

1,045.20	134 Fully Paid ordinary
shares

104

125

134

Page 4

personal use only

14/09/2021 Mitsubishi UFJ Financial Group, Inc.

AnnexureA

Purchase of securities by an entity controlled by Morgan Stanley

1,999.20

2,124.32

2,159.12

2,325.00

2,809.12

2,820.51

3,100.23

3,119.52

3,580.50

4,001.13

4,144.60

4,239.00

4,290.00

4,309.00

4,547.20

4,865.52

4,929.00

6,688.25

7,381.50

8,091.00

8,889.25

11,725.36

30,877.04

52,545.00

116,955.25

255 Fully Paid ordinary shares

272 Fully Paid ordinary shares

274 Fully Paid ordinary shares

300 Fully Paid ordinary shares

362 Fully Paid ordinary shares

363 Fully Paid ordinary shares

399 Fully Paid ordinary shares

402 Fully Paid ordinary shares

462 Fully Paid ordinary shares

511 Fully Paid ordinary shares

530 Fully Paid ordinary shares

540 Fully Paid ordinary shares

550 Fully Paid ordinary shares

556 Fully Paid ordinary shares

580 Fully Paid ordinary shares

627 Fully Paid ordinary shares

636 Fully Paid ordinary shares

863 Fully Paid ordinary shares

950 Fully Paid ordinary shares

1,044 Fully Paid ordinary shares

1,147 Fully Paid ordinary shares

1,511 Fully Paid ordinary shares

3,979 Fully Paid ordinary shares

6,780 Fully Paid ordinary shares

15,091 Fully Paid ordinary shares

255

272

274

300

362

363

399

402

462

511

530

540

550

556

580

627

636

863

950

1,044

1,147

1,511

3,979

6,780

15,091

For

14/09/2021 Mitsubishi UFJ Financial Group, Inc.

Sale of securities by an entity controlled by Morgan Stanley

7.67 1 Fully Paid ordinary share

38.45 5 Fully Paid ordinary shares

7 Fully Paid ordinary shares

21 Fully Paid ordinary shares

31 Fully Paid ordinary shares

95 Fully Paid ordinary shares

724.38 95 Fully Paid ordinary shares

801.15 105 Fully Paid ordinary shares

105

Page 5

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Smartgroup Corporation Ltd. published this content on 09 March 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 09 March 2022 06:30:11 UTC.

Market Closed - Australian S.E. Other stock markets 02:10:22 2024-05-23 EDT			5-day change	1st Jan Change
8.35 ^AUD	+0.60%		-0.12%	-4.24%

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