Change in substantial holding from MUFG
Released
Released
Announcement PDF
Form 604
Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
To: Company Name/Scheme:
Hastings Technology Metals Limited
ACN/ARSN
122 911 399
1. Details of substantial holder
Mitsubishi UFJ Financial Group, Inc.
Name
There was a change in the interests of the
substantial holder on
8 February 2024
The previous notice was given to the company on
13 February 2024
The previous notice was dated
13 February 2024
The holder became aware on
13 February 2024
2. Previous and present voting power
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:
Previous notice
Class of securities
Person’s votes
Fully Paid ordinary shares
Present notice
Voting power (%)
Person’s votes
10,620,771
8.21%
Voting power (%)
12,124,531
9.37%
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
change
Person whose
relevant interest
changed
Nature of change
Consideration given in
relation to change
Class and number
of securities
affected
Person's votes
affected
Class and number
of securities
Person's votes
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:
Holder of
relevant
interest
Registered holder
of securities
Person entitled to be
registered as holder
Nature of relevant
interest
Mitsubishi UFJ Financial
Group, Inc.
HSBC Custody Nominees
(Australia) Limited
Not applicable
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.
117,635 Fully paid ordinary shares
117,635
Mitsubishi UFJ Financial
Group, Inc.
HSBC Custody Nominees
(Australia) Limited
Not applicable
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.
11,922,280 Fully paid ordinary shares
11,922,280
Mitsubishi UFJ Financial
Group, Inc.
Morgan Stanley Australia
Securities (Nominee) Pty
Limited
Not applicable
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.
84,616 Fully paid ordinary shares
84,616
5. Changes in association
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 14 February 2024
Authorised signatory
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Annexure A
This is annexure A of 1 page referred to in Form 604, Notice of change of interest of substantial holder dated 14 February 2024
Authorised signatory
Dated 14 February 2024
Person whose relevant interest changed
Nature of change
Consideration given in
relation to change
8/02/2024
Mitsubishi UFJ Financial Group, Inc.
Sale of securities by an entity controlled
by Morgan Stanley
197.75
8/02/2024
Mitsubishi UFJ Financial Group, Inc.
Collateral Received by an entity controlled
by Morgan Stanley - see Annexure B
N/A
Date of change
Page 2
Class and number of securities affected
350 Fully paid ordinary shares
1,504,110
Fully paid ordinary shares
Person's votes affected
350
1,504,110
Annexure B
This is annexure B of 1 page referred to in Form 604, Notice of change of interest of substantial holder dated 14 February 2024
Authorised signatory
Dated 14 February 2024
The below schedules are based on the relevant standard agreements. The entity filing the report will, if requested by the company or responsible entity to whom the prescribed form must be given or
ASIC, give a copy of the agreement to the company, responsible entity or ASIC.
Schedule
Type of Agreement
Parties to agreement
Transfer Date
Holder of Voting Rights
Are there any restrictions on voting rights?
If yes, detail Not applicable
Scheduled Return Date (if any)
International Prime Brokerage Agreement
Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and L1 LONG SHORT
FUND LIMITED
20240208;
Prime broker has the right to vote securities rehypothecated from the Client.
Yes/No
Open
Does the borrower have the right to return early?
Yes/No
If yes, detail Prime broker may return shares which were rehypothecated from the client at any time.
Does the lender have the right to recall early?
Yes/No
If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by the client.
Will the securities be returned on settlement?
Yes/No
If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from
each party to the other. The amounts due from one party shall be set off against the amounts due from the other party and only the balance of the account shall be payable.
Schedule
Type of Agreement
Parties to agreement
Transfer Date
Holder of Voting Rights
Are there any restrictions on voting rights?
If yes, detail Not applicable
Scheduled Return Date (if any)
International Prime Brokerage Agreement
Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and EQUITY TRUSTEES
LIMITED AS TRUSTEE FOR L1 CAPITAL LONG SHORT FUND
20240208;
Prime broker has the right to vote securities rehypothecated from the Client.
Yes/No
Open
Does the borrower have the right to return early?
Yes/No
If yes, detail Prime broker may return shares which were rehypothecated from the client at any time.
Does the lender have the right to recall early?
Yes/No
If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by the client.
Will the securities be returned on settlement?
Yes/No
If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from
each party to the other. The amounts due from one party shall be set off against the amounts due from the other party and only the balance of the account shall be payable.
Schedule
Type of Agreement
Parties to agreement
Transfer Date
Holder of Voting Rights
Are there any restrictions on voting rights?
If yes, detail Not applicable
Scheduled Return Date (if any)
International Prime Brokerage Agreement
Morgan Stanley & Co. International plc for itself and as agent and trustee for and on behalf of the other Morgan Stanley Companies and L1 CAPITAL LONG
SHORT (MASTER) FUND
20240205;
Prime broker has the right to vote securities rehypothecated from the Client.
Yes/No
Open
Does the borrower have the right to return early?
Yes/No
If yes, detail Prime broker may return shares which were rehypothecated from the client at any time.
Does the lender have the right to recall early?
Yes/No
If yes, detail Prime broker will be required to return to the client shares rehypothecated from the client's account upon a sale of those shares by the client.
Will the securities be returned on settlement?
Yes/No
If yes, detail any exceptions Upon an Event of Default, the default market value of all Equivalent Securities to be delivered will be determined and on the basis of the amounts so established, an account shall be taken of what is due from
each party to the other. The amounts due from one party shall be set off against the amounts due from the other party and only the balance of the account shall be payable.
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