UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 6)*
Honda Motor Co., Ltd.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
438128308
(CUSIP Number)
December 31, 2009
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x : Rule 13d-1(b)
o : Rule 13d-1(c)
o : 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. 438128308
1 |
NAME OF REPORTING PERSON
Mitsubishi UFJ Financial Group, Inc. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
117,071,145 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
117,071,145 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
117,071,145 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.5% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
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 (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
36,686,700 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
36,686,700 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
36,686,700 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
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 (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
63,834,500 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
63,834,500 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
63,834,500 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.5% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
Mitsubishi UFJ Securities Co., Ltd. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
5,122,485 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
5,122,485 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,122,485 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.3% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
Mitsubishi UFJ Asset Management Co., Ltd. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
9,127,600 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
9,127,600 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,127,600 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.5% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
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 (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
London, United Kingdom |
||
NUMBER OF |
5 |
SOLE VOTING POWER
685,300 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
685,300 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
685,300 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
MU Investments Co., Ltd. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
1,912,400 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
1,912,400 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,912,400 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.1% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
kabu.com Securities Co., Ltd. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
148,360 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
148,360 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
148,360 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
KOKUSAI Asset Management Co., Ltd. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Tokyo, Japan |
||
NUMBER OF |
5 |
SOLE VOTING POWER
238,700 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
238,700 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
238,700 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
FI |
||
CUSIP NO. 438128308
1 |
NAME OF REPORTING PERSON
HighMark Capital Management, Inc. |
||
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) (b)
|
||
3 |
SEC USE ONLY |
||
4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
California, United States
|
||
NUMBER OF |
5 |
SOLE VOTING POWER
400 |
|
6 |
SHARED VOTING POWER
-0- |
||
7 |
SOLE DISPOSITIVE POWER
400 |
||
8 |
SHARED DISPOSITIVE POWER
-0- |
||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
400 |
||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
|
||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% |
||
12 |
TYPE OF REPORTING PERSON (See Instructions)
IA |
||
CUSIP NO. 438128308
ITEM 1
|
(a) |
Name of Issuer |
Honda Motor Co., Ltd.
|
(b) |
Address of Issuer’s 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”)
Mitsubishi UFJ Trust and Banking Corporation (“MUTB”)
Mitsubishi UFJ Securities Co., Ltd. (“MUS”)
Mitsubishi UFJ Asset Management Co., Ltd. (“MUAM”)
Mitsubishi UFJ Asset Management (UK) Ltd. (“MUAMUK”)
MU Investments Co., Ltd. (“MUI”)
kabu.com Securities Co., Ltd. (“KC”)
KOKUSAI Asset Management Co., Ltd. (“KAM”)
HighMark Capital Management, Inc. (“HCM”)
|
(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
MUTB:
4-5 Marunouchi 1-chome, Chiyoda-ku
Tokyo 100-8212, Japan
MUS:
4-1 Marunouchi 2-chome, Chiyoda-ku
Tokyo 100-6334, Japan
MUAM:
4-5 Marunouchi 1-chome, Chiyoda-ku
CUSIP NO. 438128308
Tokyo 100-8212, Japan
MUAMUK:
12-15 Finsbury Circus, London EC2M 7BT
United Kingdom
MUI:
2-15 Nihonbashi Muromachi 3-chome, Chuo-ku
Tokyo 103-0022, Japan
KC:
3-2 Otemachi 1-chome, Chiyoda-ku
Tokyo 100-0004, Japan
KAM:
1-1 Marunouchi 3-chome, Chiyoda-ku
Tokyo 100-0005, Japan
HCM:
350 California Street, San Francisco
California 94104, USA
|
(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) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
CUSIP NO. 438128308
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
CUSIP NO. 438128308
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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
|
MUS: |
(a) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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
|
MUAM: |
(a) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
CUSIP NO. 438128308
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
CUSIP NO. 438128308
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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
|
KC: |
(a) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
CUSIP NO. 438128308
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
|
KAM: |
(a) o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) o |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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) x |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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
|
HCM: |
(a) o Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
|
(b) o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
|
(c) o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
|
(d) o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
|
(e) x |
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
|
(f) o |
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
|
(g) o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) o |
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); |
CUSIP NO. 438128308
|
(j) o |
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
|
(k) o |
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
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: |
117,071,145 |
|
(b) |
Percent of class: |
6.45% |
|
(c) |
Number of shares as to which the person has: |
|
(i) Sole power to vote or to direct the vote: |
117,071,145 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
117,071,145 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
For BTMU
|
(a) |
Amount beneficially owned: |
36,686,700 |
|
(b) |
Percent of class: |
2.02% |
|
(c) |
Number of shares as to which the person has: |
|
(i) Sole power to vote or to direct the vote: |
36,686,700 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
36,686,700 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
For MUTB
|
(a) |
Amount beneficially owned: |
63,834,500 |
|
(b) |
Percent of class: |
3.52% |
|
(c) |
Number of shares as to which the person has: |
|
(i) Sole power to vote or to direct the vote: |
63,834,500 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
63,834,500 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
CUSIP NO. 438128308
For MUS
|
(a) |
Amount beneficially owned: |
5,122,485 |
|
(b) |
Percent of class: |
0.28% |
|
(c) |
Number of shares as to which the person has: |
|
(i) Sole power to vote or to direct the vote: |
5,122,485 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
5,122,485 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
For MUAM
|
(a) |
Amount beneficially owned: |
9,127,600 |
|
(b) |
Percent of class: |
0.50% |
|
(c) |
Number of shares as to which the person has: |
|
(i) Sole power to vote or to direct the vote: |
9,127,600 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
9,127,600 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
For MUAMUK
|
(a) |
Amount beneficially owned: |
685,300 |
|
(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: |
685,300 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
685,300 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
For MUI
|
(a) |
Amount beneficially owned: |
1,912,400 |
|
(b) |
Percent of class: |
0.11% |
|
(c) |
Number of shares as to which the person has: |
|
(i) Sole power to vote or to direct the vote: |
1,912,400 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
1,912,400 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
CUSIP NO. 438128308
For KC
|
(a) |
Amount beneficially owned: |
148,360 |
|
(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: |
148,360 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
148,360 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
For KAM
|
(a) |
Amount beneficially owned: |
238,700 |
|
(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: |
238,700 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
238,700 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
For HCM
|
(a) |
Amount beneficially owned: |
400 |
|
(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: |
400 |
|
(ii) Shared power to vote or to direct the vote: |
-0- |
|
(iii) Sole power to dispose or to direct the disposition of: |
400 |
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
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 |
CUSIP NO. 438128308
As of December 31, 2009, MUFG beneficially owns 117,071,145 shares of the issuer indirectly through its subsidiaries as follows: BTMU holds 36,686,700 shares; MUTB holds 63,834,500 shares; MUS holds 5,122,485 shares; MUAM holds 9,127,600 shares (including 685,300 shares indirectly held through MUAM’s subsidiary, MUAMUK); MUI holds 1,912,400 shares; KC holds 148,360 shares; KAM holds 238,700 shares; and HCM holds 400 shares.
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 MUFG, BTMU, MUTB, MUS, MUAM, MUAMUK, MUI, KC and KAM certify that, to the best of their knowledge and belief, (i) 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, and (ii) the foreign regulatory schemes applicable to parent holding companies, banks, broker-dealers and investment advisers, respectively, are substantially comparable to the regulatory schemes applicable to the functionally equivalent U.S. institutions. These filers also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D.
By signing below HCM certifies that, to the best of its 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.
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.
Date: February 10, 2010
MITSUBISHI UFJ FINANCIAL GROUP, INC.
|
By: |
/s/ Takami Onodera |
Name: Takami Onodera
Title: General Manager, Credit & Investment Management Division
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.
Date: February 10, 2010
THE BANK OF TOKYO-MITSUBISHI UFJ, LTD.
|
By: |
/s/ Takami Onodera |
Name: Takami Onodera
Title: General Manager, Credit Policy & Planning Division
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.
Date: February 10, 2010
MITSUBISHI UFJ TRUST AND BANKING CORPORATION
|
By: |
/s/ Koji Kawakami |
Name: Koji Kawakami
Title: Deputy General Manager of Trust Assets Planning Division
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.
Date: February 10, 2010
MITSUBISHI UFJ SECURITIES CO., LTD.
|
By: |
/s/ Hirofumi Noda |
Name: Hirofumi Noda
Title: General Manager, Corporate Planning Division
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.
Date: February 10, 2010
MITSUBISHI UFJ ASSET MANAGEMENT CO., LTD.
|
By: |
/s/ Katsutoshi Edamura |
Name: Katsutoshi Edamura
Title: General Manager of Risk Management Division
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.
Date: February 10, 2010
MITSUBISHI UFJ ASSET MANAGEMENT (UK) LTD.
|
By: |
/s/ Shojiro Ueda |
Name: Shojiro Ueda
Title: Managing Director & CE
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.
Date: February 10, 2010
MU INVESTMENTS CO., LTD.
|
By: |
/s/ Nishichi Omori |
Name: Nishichi Omori
Title: Director
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.
Date: February 10, 2010
KABU.COM SECURITIES CO., LTD.
|
By: |
/s/ Takeshi Amemiya |
Name: Takeshi Amemiya
Title: General Manager of Corporate Administration
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.
Date: February 10, 2010
KOKUSAI ASSET MANAGEMENT CO., LTD.
|
By: |
/s/ Takeshi Dohi |
Name: Takeshi Dohi
Title: General Manager, Investment Management Planning Dept.
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.
Date: February 10, 2010
HIGHMARK CAPITAL MANAGEMENT, INC.
|
By: |
/s/ Earle A. Malm II |
Name: Earle A. Malm II
Title: Chairman, President and CEO