UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 6)*
Nidec Corporation
(Name of Issuer)
Common Stock
(Title of Class of Securities)
654090109
(CUSIP Number)
December 31, 2014
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
þ: | 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. 654090109
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
16,139,115 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
16,139,115 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
16,139,115 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨ | |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.7% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
2
CUSIP NO. 654090109
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
7,448,822 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
7,448,822 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,448,822 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨ | |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.6% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
3
CUSIP NO. 654090109
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
22,920 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
22,920 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,920 | |||||
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 |
4
CUSIP NO. 654090109
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
7,606,871 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
7,606,871 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,606,871 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨ | |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.7% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
5
CUSIP NO. 654090109
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
215,300 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
215,300 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
215,300 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨ | |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.1% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
6
CUSIP NO. 654090109
1 |
NAME OF REPORTING PERSON
Mitsubishi UFJ 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
665,700 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
665,700 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,700 | |||||
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 |
7
CUSIP NO. 654090109
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
1,083,422 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
1,083,422 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,083,422 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨ | |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.4% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
8
CUSIP NO. 654090109
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
639,162 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
639,162 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
639,162 | |||||
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. 654090109
1 |
NAME OF REPORTING PERSON
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
81,400 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
81,400 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
81,400 | |||||
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 |
10
CUSIP NO. 654090109
1 |
NAME OF REPORTING PERSON
Mitsubishi UFJ Securities International plc | |||||
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
362,860 | ||||
6 | SHARED VOTING POWER
-0- | |||||
7 | SOLE DISPOSITIVE POWER
362,860 | |||||
8 | SHARED DISPOSITIVE POWER
-0- | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
362,860 | |||||
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨ | |||||
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.1% | |||||
12 |
TYPE OF REPORTING PERSON
FI |
11
CUSIP NO. 654090109
ITEM 1 |
||||||||||
(a) | Name of Issuer | |||||||||
Nidec Corporation | ||||||||||
(b) | Address of Issuers Principal Executive Offices | |||||||||
338 Kuzetonoshiro-cho, Minami-ku, Kyoto 601-8205, Japan | ||||||||||
ITEM 2 |
||||||||||
(a) | Names of Persons Filing | |||||||||
Mitsubishi UFJ Financial Group, Inc. (MUFG) | ||||||||||
The Bank of Tokyo-Mitsubishi UFJ, Ltd. (BTMU) | ||||||||||
kabu.com Securities Co., Ltd. (KC) | ||||||||||
Mitsubishi UFJ Trust and Banking Corporation (MUTB) | ||||||||||
MU Investments Co., Ltd. (MUI) | ||||||||||
Mitsubishi UFJ Asset Management Co., Ltd. (MUAM) | ||||||||||
Mitsubishi UFJ Securities Holdings Co.,Ltd. (MUSHD) | ||||||||||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (MUMSS) | ||||||||||
KOKUSAI Asset Management Co., Ltd. (KAM) | ||||||||||
Mitsubishi UFJ Securities International plc (MUSI) | ||||||||||
(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 | ||||||||||
KC: | ||||||||||
3-2 Otemachi 1-chome, Chiyoda-ku | ||||||||||
Tokyo 100-0004, Japan | ||||||||||
MUTB: | ||||||||||
4-5 Marunouchi 1-chome, Chiyoda-ku | ||||||||||
Tokyo 100-8212, Japan | ||||||||||
MUI: | ||||||||||
3-11 Kandasurugadai 2-chome, Chiyoda-ku | ||||||||||
Tokyo 101-0062, Japan |
12
CUSIP NO. 654090109
MUAM: | ||||||||||
4-5 Marunouchi 1-chome, Chiyoda-ku | ||||||||||
Tokyo 100-8212, Japan | ||||||||||
MUSHD: | ||||||||||
5-2, Marunouchi 2-chome, Chiyoda-ku | ||||||||||
Tokyo 100-0005, Japan | ||||||||||
MUMSS: | ||||||||||
5-2, Marunouchi 2-chome, Chiyoda-ku | ||||||||||
Tokyo 100-0005, Japan | ||||||||||
KAM: | ||||||||||
1-1 Marunouchi 3-chome, Chiyoda-ku | ||||||||||
Tokyo 100-0005, Japan | ||||||||||
MUSI: | ||||||||||
Ropemaker Place, 25 Ropemaker Street, London, EC2Y 9AJ, | ||||||||||
United Kingdom | ||||||||||
(c) | Citizenship | |||||||||
Not applicable. | ||||||||||
(d) | Title of Class of Securities | |||||||||
Common Stock | ||||||||||
(e) | CUSIP Number | |||||||||
654090109 | ||||||||||
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); |
13
CUSIP NO. 654090109
(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 | ||||||||||
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); |
14
CUSIP NO. 654090109
(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 | ||||||||||
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 | ||||||||||
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); |
15
CUSIP NO. 654090109
(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 | ||||||||||
MUAM: | (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); |
16
CUSIP NO. 654090109
(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 | ||||||||||
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 | ||||||||||
KAM: | (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); |
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CUSIP NO. 654090109
(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 | ||||||||||
MUSI: | (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, Bank |
18
CUSIP NO. 654090109
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: |
16,139,115 | ||||||||
(b) |
Percent of class: |
5.74% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
16,139,115 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
16,139,115 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For BTMU |
||||||||||
(a) |
Amount beneficially owned: |
7,448,822 | ||||||||
(b) |
Percent of class: |
2.65% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
7,448,822 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
7,448,822 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For KC |
||||||||||
(a) |
Amount beneficially owned: |
22,920 | ||||||||
(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: |
22,920 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
22,920 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUTB |
||||||||||
(a) |
Amount beneficially owned: |
7,606,871 | ||||||||
(b) |
Percent of class: |
2.70% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
7,606,871 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
7,606,871 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
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CUSIP NO. 654090109
For MUI | ||||||||||
(a) |
Amount beneficially owned: |
215,300 | ||||||||
(b) |
Percent of class: |
0.08% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
215,300 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
215,300 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUAM | ||||||||||
(a) |
Amount beneficially owned: |
665,700 | ||||||||
(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: |
665,700 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
665,700 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUSHD | ||||||||||
(a) |
Amount beneficially owned: |
1,083,422 | ||||||||
(b) |
Percent of class: |
0.39% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
1,083,422 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
1,083,422 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- | |||||||||
For MUMSS | ||||||||||
(a) |
Amount beneficially owned: |
639,162 | ||||||||
(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: |
639,162 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
639,162 | |||||||||
(iv) Shared power to dispose or to direct the disposition of: |
-0- |
20
CUSIP NO. 654090109
For KAM | ||||||||||
(a) |
Amount beneficially owned: |
81,400 | ||||||||
(b) |
Percent of class: |
0.03% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
81,400 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
81,400 | |||||||||
|
(iv) Shared power to dispose or to direct the disposition of: |
-0- | ||||||||
For MUSI | ||||||||||
(a) |
Amount beneficially owned: |
362,860 | ||||||||
(b) |
Percent of class: |
0.13% | ||||||||
(c) |
Number of shares as to which the person has: |
|||||||||
(i) Sole power to vote or to direct the vote: |
362,860 | |||||||||
(ii) Shared power to vote or to direct the vote: |
-0- | |||||||||
(iii) Sole power to dispose or to direct the disposition of: |
362,860 | |||||||||
(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 | |||||||||
As of December 31, 2014, MUFG beneficially owns 16,139,115 shares of the issuer indirectly through its subsidiaries as follows: BTMU holds 7,448,822 shares (indirectly through a subsidiary, KC); MUTB holds 7,606,871 shares (indirectly through a subsidiary, MUI) (indirectly through a subsidiary, MUAM); MUSHD holds 1,083,422 shares (indirectly through a subsidiary, MUMSS) (indirectly through a subsidiary, KAM); an (indirectly through a subsidiary, MUSI). | ||||||||||
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 the filers 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. The filers also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D. |
21
CUSIP NO. 654090109
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 12, 2015 | ||
Mitsubishi UFJ Financial Group, Inc. | ||
By: |
/s/ Kazutomo Kishi | |
Name: |
Kazutomo Kishi | |
Title: |
Senior Manager, Credit & Investment Management Division |
22
CUSIP NO. 654090109
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 12, 2015 | ||
The Bank of Tokyo-Mitsubishi UFJ, Ltd. | ||
By: |
/s/ Kazutomo Kishi | |
Name: |
Kazutomo Kishi | |
Title: |
Chief Manager, Credit & Investment Management Division |
23
CUSIP NO. 654090109
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 12, 2015 | ||
kabu.com Securities Co., Ltd. | ||
By: |
/s/ Takeshi Amemiya | |
Name: |
Takeshi Amemiya | |
Title: |
General Manager of Corporate Administration |
24
CUSIP NO. 654090109
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 12, 2015 | ||
Mitsubishi UFJ Trust and Banking Corporation | ||
By: |
/s/ Sunao Yokokawa | |
Name: |
Sunao Yokokawa | |
Title: |
General Manager of Trust Assets Planning Division |
25
CUSIP NO. 654090109
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 12, 2015 | ||
MU Investments Co., Ltd. | ||
By: |
/s/ Yoshihiro Asada | |
Name: |
Yoshihiro Asada | |
Title: |
Executive Officer |
26
CUSIP NO. 654090109
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 12, 2015 | ||
Mitsubishi UFJ Asset Management Co., Ltd. | ||
By: |
/s/ Makoto Kiura | |
Name: |
Makoto Kiura | |
Title: |
General Manager of Risk Management Division |
27
CUSIP NO. 654090109
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 12, 2015 | ||
Mitsubishi UFJ Securities Holdings Co., Ltd. | ||
By: |
/s/ Kazuo Ozaki | |
Name: |
Kazuo Ozaki | |
Title: |
Deputy General Manager of Corporate Planning Division |
28
CUSIP NO. 654090109
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 12, 2015 | ||
Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. | ||
By: |
/s/ Kazuo Ozaki | |
Name: |
Kazuo Ozaki | |
Title: |
Deputy General Manager of Corporate Planning Division |
29
CUSIP NO. 654090109
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 12, 2015 | ||
KOKUSAI Asset Management Co., Ltd. | ||
By: |
/s/ Takeshi Dohi | |
Name: |
Takeshi Dohi | |
Title: |
General Manager, Investment Management Planning Dept. |
30
CUSIP NO. 654090109
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 12, 2015 | ||
Mitsubishi UFJ Securities International plc | ||
By: |
/s/ Nobuyuki Uchida | |
Name: |
Nobuyuki Uchida | |
Title: |
Resident Executive Officer |
31