ALS : Becoming a substantial holder from MUFG

For personal use only

Form603

		Form 603
		Corporations Act 2001
		Section 671B
		Notice of initial substantial holder
To: Company Name/Scheme:	ALS Limited
ACN/ARSN:	009 657 489
1. Details of substantial holder
Name	Mitsubishi UFJ Financial Group, Inc.
The holder became a substantial holder on:	15/12/2021
The holder became aware on:		19/12/2021
2. Details of 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 on the date the substantial holder became a substantial holder are as follows:

Class of securities	Number of securities	Person's votes		Voting power (%)
Fully Paid ordinary shares	24,182,246		24,182,246	5.01%

3. Details of relevant interests

The nature of the relevant interest the substantial holder or an associate had in the following voting securities on the date the substantial holder became a substantial holder are as follows:

Holder of relevant interest	Nature of relevant interest	Class and number of securities
	Relevant interest in securities that First Sentier
	Investors Holdings Pty Limited has a relevant
Mitsubishi UFJ Financial Group, Inc.	interest in under section 608(3) of the Corporations
Act as Mitsubishi UFJ Financial Group, Inc. has	2,996,346 Fully paid ordinary shares
	voting power of 100% in First Sentier Investors
	Holdings Pty Limited.
	Relevant interest in securities that First Sentier
	Investors Holdings Pty Limited has a relevant
Mitsubishi UFJ Financial Group, Inc.	interest in under section 608(3) of the Corporations
Act as Mitsubishi UFJ Financial Group, Inc. has	18,475,130 Fully paid ordinary shares
	voting power of 100% in First Sentier Investors
	Holdings Pty Limited.
	Relevant interest in securities that First Sentier
	Investors Holdings Pty Limited has a relevant
Mitsubishi UFJ Financial Group, Inc.	interest in under section 608(3) of the Corporations
Act as Mitsubishi UFJ Financial Group, Inc. has	4,919 Fully paid ordinary shares
	voting power of 100% in First Sentier Investors
	Holdings Pty Limited.
	Relevant interest in securities that Morgan Stanley
	has a relevant interest in under section 608(3) of
Mitsubishi UFJ Financial Group, Inc.	the Corporations Act as Mitsubishi UFJ Financial	129,093 Fully paid ordinary shares
	Group, Inc. has voting power of over 20% in
	Morgan Stanley.
	Relevant interest in securities that Morgan Stanley
	has a relevant interest in under section 608(3) of
Mitsubishi UFJ Financial Group, Inc.	the Corporations Act as Mitsubishi UFJ Financial	84,973 Fully paid ordinary shares
	Group, Inc. has voting power of over 20% in
	Morgan Stanley.
	Relevant interest in securities that Morgan Stanley
Mitsubishi UFJ Financial Group, Inc.	has a relevant interest in under section 608(3) of
the Corporations Act as Mitsubishi UFJ Financial	115,990 Fully paid ordinary shares
	Group, Inc. has voting power of over 20% in
	Morgan Stanley.

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	Form603
	Relevant interest in securities that Morgan Stanley
	has a relevant interest in under section 608(3) of
Mitsubishi UFJ Financial Group, Inc.	the Corporations Act as Mitsubishi UFJ Financial	2,256 Fully paid ordinary shares
	Group, Inc. has voting power of over 20% in
	Morgan Stanley.
	Relevant interest in securities that Morgan Stanley
Mitsubishi UFJ Financial Group, Inc.	has a relevant interest in under section 608(3) of
the Corporations Act as Mitsubishi UFJ Financial	124,760 Fully paid ordinary shares
	Group, Inc. has voting power of over 20% in
	Morgan Stanley.
	Relevant interest in securities that Morgan Stanley
	has a relevant interest in under section 608(3) of
Mitsubishi UFJ Financial Group, Inc.	the Corporations Act as Mitsubishi UFJ Financial	2,234,365 Fully paid ordinary shares
	Group, Inc. has voting power of over 20% in
	Morgan Stanley.
	Relevant interest in securities that Mitsubishi UFJ
	Trust and Banking Corporation has a relevant
Mitsubishi UFJ Financial Group, Inc.	interest in under section 608(3) of the Corporations
Act as Mitsubishi UFJ Financial Group, Inc. has	14,414 Fully paid ordinary shares
	voting power of 100% in Mitsubishi UFJ Trust and
	Banking Corporation.

4. Details of present registered holders

The persons registered as holders of the securities referred to in paragraph 3 above are as follows:

Holder of relevant		Registered holder of			Person entitled to be		Class and number of securities
interest		securities			registered as holder
Mitsubishi UFJ Financial Group, Inc.		Citibank N A Hong Kong		Not applicable		784,280	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		Citicorp Nominees Pty Limited		Not applicable		1,330,442	Fully paid ordinary
		(Australia)							shares
Mitsubishi UFJ Financial Group, Inc.		HSBC Bank Australia Limited		Not applicable		424,754	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		JPMorgan (UK)			Not applicable		454,114	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		Northern Trust Company		Not applicable		2,756	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		BNP Paribas Securities		Not applicable		183,565	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		Citibank N A Hong Kong		Not applicable		16,533,317	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		JP Morgan Chase Bank NA		Not applicable		1,157,311	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		JPMorgan (UK)			Not applicable		14,506	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		National Custodian Services		Not applicable		94,638	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		Northern Trust Company		Not applicable		487,471	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		State Street Global Advisors		Not applicable		4,322	Fully paid ordinary
		(Australia) Limited				shares
Mitsubishi UFJ Financial Group, Inc.		Avanteos Investments Limited		Not applicable		4,919	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		Mitsubishi UFJ Trust and Banking		Not applicable		14,414	Fully paid ordinary
		Corporation				shares
Mitsubishi UFJ Financial Group, Inc.		Unknown			Not applicable		2,234,365	Fully paid ordinary
									shares
Mitsubishi UFJ Financial Group, Inc.		HSBC Custody Nominees		Not applicable		2,256	Fully paid ordinary
		(Australia) Limited				shares
Mitsubishi UFJ Financial Group, Inc.		HSBC Custody Nominees		Not applicable		129,093	Fully paid ordinary
		(Australia) Limited				shares
Mitsubishi UFJ Financial Group, Inc.		Morgan Stanley Australia		Not applicable		200,963	Fully paid ordinary
		Securities (Nominee) Pty Limited			shares
Mitsubishi UFJ Financial Group, Inc.		Morgan Stanley Wealth						Fully paid ordinary
	Management Australia Pty		Not applicable		124,760
		discretionary client account						shares
5. Consideration
The consideration paid for each relevant interest referred to in paragraph 3 above, and acquired in the four months prior to the day that the
substantial holder became a substantial holder is as follows:
Holder of relevant	Date of acquisition	Consideration		Class and number of securities
interest
				Cash		Non-cash
See annexure B to this notice

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Form603

6. Associates

The reasons the persons named in paragraph 3 above are associates of the substantial holder are as follows:

Name and ACN/ARSN (if applicable)	Nature of association
See annexure A to this notice	Each company referred to is an associate of Mitsubishi UFJ Financial Group, Inc. under section 12 of
the Corporations Act
7. 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
8. Signature

Dated 20 December 2021

Ryuichiro Sakuma

Authorised signatory

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AnnexureA

Annexure A

This is annexure A of 5 pages referred to in Form 603, Notice of initial substantial holder dated 20 December 2021

Ryuichiro Sakuma

Authorised signatory

Dated 20 December 2021

SCHEDULE

MUFG Bank, Ltd.

Mitsubishi UFJ Trust and Banking Corporation

Mitsubishi UFJ Securities Holdings Co., Ltd.

MU Business Engineering, Ltd.

The Mitsubishi UFJ Factors Limited

Mitsubishi UFJ Jinji Service Co., Ltd.

MU Techno-service Co., Ltd.

Tokyo Credit Service, Ltd.

Tokyo Associates Finance Corp.

MU Business Service Co., Ltd.

Mitsubishi UFJ Loan Business Co.,Ltd.

Mitsubishi UFJ Information Technology, Ltd.

MU Center Service Tokyo Co., Ltd.

MU Center Service Nagoya Co., Ltd.

MU Center Service Osaka Co., Ltd.

MU Business Aid Co., Ltd.

MU Property Reserch Company Limited

Mitsubishi UFJ Home Loan CREDIT CO., LTD.

The Diamond Home Credit Company Limited

Mitsubishi UFJ Reserch & Consulting Co., Ltd.

MU Frontier Servicer Co., Ltd.

Otemachi Guarantee Co., Ltd.

GD Holdings Company Limited

MU Loan Administration Support Co., Ltd.

MU Communications Co.,Ltd.

Japan Electronic Monetary Claim Organization

MU Business Partner Co., Ltd.

MUT Business Outsourcing Co., Ltd.

Mezzanine Solution II Limited Partnership

Mezzanine Solution III Limited Partnership

Mitsubishi UFJ Capital Co., Ltd.

Mitsubishi UFJ Capital Ⅲ, Limited Partnership

Mitsubishi UFJ Capital Ⅳ, Limited Partnership

Mitsubishi UFJ Capital Ⅴ, Limited Partnership

Mitsubishi UFJ Capital Ⅵ, Limited Partnership

Mitsubishi UFJ Capital Ⅶ, Limited Partnership

Mitsubishi UFJ Life Science 1, Limited Partnership

Mitsubishi UFJ Life Science 2, Limited Partnership

Tohoku Senary Industry Support, Limited Partnership

OiDE Fund Investment Limited Partnership

Mitsubishi UFJ Personal Financial Advisers Co., Ltd.

Mitsubishi UFJ Financial Partners Co.,Ltd.

The Mitsubishi Asset Brains Company, Limited

BOT Lease Co., Ltd.

The Chukyo Bank, Ltd.

Nippon Mutual Housing Loan Co., Ltd.

JM Real Estate Co., Ltd.

Jibun Bank Corporation

JACCS CO.,LTD.

JALCARD Inc.

Yume Shokei Fund No.2

Yume Shokei Fund No.3

Marunouchi Capital Fund II Limited Partnership

M･U･Trust Sougou Kanri Co., Ltd.

Mitsubishi UFJ Trust Business Co., Ltd.

Ryoshin Data Co., Ltd.

Mitsubishi UFJ Trust Systems Co., Ltd.

Mitsubishi UFJ Trust Investment Technology Institute Co., Ltd.

Mitsubishi UFJ Trust Hosyo Co., Ltd.

M･U･Trust･Apple Planning Company, Ltd.

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AnnexureA

Mitsubishi UFJ Real Estate Services Co., Ltd.

Mitsubishi UFJ Daiko Business Co., Ltd.

The Master Trust Bank of Japan, Ltd. MU Investments Co., Ltd.

Japan Shareholder Services Ltd.

Mitsubishi UFJ Kokusai Asset Management Co., Ltd. Tokumei-Kumiai (CPI)

Tokumei-Kumiai (GII) Tokumei-Kumiai (Gate Bridge 1) Tokumei-Kumiai (CENTOMILIARDO) Tokumei-Kumiai (MEET) Tokumei-Kumiai (FIELD)

Ippan Shadan Houjin Leone

Jointly Managed Monetary Trust Fund (Fund Number:550001) MU Trust Property Management Co., Ltd.

Tokumei-Kumiai (RICE) TOKKINGAI (Fund Number.900338) TOKKINGAI (Fund Number.900327) TOKKINGAI (Fund Number.900344) AMP Capital Investors KK

MM Partnership

MUS Information Systems Co., Ltd. MUS Business Service Co., Ltd.

Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. Mitsubishi UFJ Morgan Stanley PB Securities Co., Ltd. kabu.com Securities Co., Ltd.

Morgan Stanley MUFG Securities Co., Ltd. Mitsubishi UFJ NICOS Co., Ltd.

Card Business Service Co.,Ltd.

MU NICOS Business Service Co., Ltd. MU NICOS Credit Co.,Ltd.

Ryoshin DC Card Company Ltd. JMS Co., Ltd.

Paygent Co., Ltd.

JA Card Co., Ltd

ACOM CO., LTD.

IR Loan Servicing, Inc.

MU Credit Guarantee Co., Ltd. Japan Digital Design, Inc. Crowd Money Inc.

MUMEC Visionary Design, Ltd. Global Open Network, Inc. Global Open Network Japan, Inc. MUFG Innovation Partners Co., Ltd.

MUFG Innovation Partners No.1 Investment Partnership Mitsubishi Research Institute DCS Co.,Ltd.

HR Solution DCS Co.,Ltd.

Mitsubishi UFJ Lease & Finance Company Limited Hitachi Capital Corporation

Nihombashi TG Jigyo Kyodo Kumiai

NIHOMBASHI TG SERVICE CO., LTD.

SHIN-NIHOMBASHI TSUSHO CO., LTD. Solution Design Co.,ltd.

Nippon Record Keeping Network Co., Ltd. Banco MUFG Brasil S.A.

9808680 Canada Inc.

BTMU (Curacao) Holdings N.V. MUFG Bank (Europe) N.V.

MUFG Business Services (Holland) B.V. MUFG Funding (UK) Limited

MUFG Europe Lease (Deutschland) GmbH MUFG Bank (Malaysia) Berhad

MUFG North America International, Inc. MUFG Bank Mexico, S.A.

MUFG Nominees (HK) Limited

MUFG Nominees (UK) Limited MUFG Americas Holdings Corporation MUFG Union Bank, N.A.

Union Bank of California Leasing, Inc. UBOC Community Development Corporation UnionBanc Investment Services, LLC Bankers Commercial Corporation UnionBanCal Equities, Inc.

UnionBanCal Leasing Corporation

UnionBanCal Mortgage Corporation Mills-Ralston, Inc.

HighMark Capital Management, Inc. BCC OX I, Inc.

BCC OX II, Inc.

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