Fujitsu 2010 Annual Report Download - page 142

4. AllianceBernstein Japan Ltd., in conjunction with two affiliates,
submitted a change in large shareholding report dated June 30,
2009 to the Director General of the Kanto Local Finance Bureau
containing the following information that the companies were
obligated to report as of June 23, 2009. The details of the change in
shareholding report are as follows:
Shareholder
Number of
shares held
(thousands)
Percentage of
total shares
outstanding
(%)
AllianceBernstein L.P. 180,650 8.73
AXA Rosenberg Investment Management Ltd. 18,113 0.88
AllianceBernstein Japan Ltd. 6,386 0.31
Total 205,149 9.91
AllianceBernstein Japan Ltd. and two of its affiliates again jointly
submitted a change in large shareholding report dated August 5,
2009 to the Director General of the Kanto Local Finance Bureau
containing the following information which the companies were
obligated to report as of July 31, 2009. The details of the change in
shareholding report are as follows:
Shareholder
Number of
shares held
(thousands)
Percentage of
total shares
outstanding
(%)
AllianceBernstein L.P. 157,510 7.61
AXA Rosenberg Investment Management Ltd. 17,682 0.85
AllianceBernstein Japan Ltd. 7,653 0.37
Total 182,845 8.83
AllianceBernstein Japan Ltd. and two of its affiliates again jointly
submitted a change in large shareholding report dated September
4, 2009 to the Director General of the Kanto Local Finance Bureau
con taining the following information which the companies were
obligated to report as of August 31, 2009. The details of the change
in shareholding report are as follows:
Shareholder
Number of
shares held
(thousands)
Percentage of
total shares
outstanding
(%)
AllianceBernstein L.P. 115,669 5.59
AXA Rosenberg Investment Management Ltd. 17,394 0.84
AllianceBernstein Japan Ltd. 6,535 0.32
Total 139,598 6.74
AllianceBernstein Japan Ltd. and two of its affiliates again jointly
submitted a change in large shareholding report dated September
17, 2009 to the Director General of the Kanto Local Finance Bureau
con taining the following information which the companies were
obligated to report as of September 15, 2009. The details of the
change in shareholding report are as follows:
Shareholder
Number of
shares held
(thousands)
Percentage of
total shares
outstanding
(%)
AllianceBernstein L.P. 94,892 4.58
AXA Rosenberg Investment Management Ltd. 17,440 0.84
AllianceBernstein Japan Ltd. 6,470 0.31
Total 118,803 5.74
AllianceBernstein Japan Ltd. and two of its affiliates again jointly
submitted a change in large shareholding report dated October 22,
2009 to the Director General of the Kanto Local Finance Bureau
containing the following information which the companies were
obligated to report as of October 15, 2009. The details of the
change in shareholding report are as follows:
Shareholder
Number of
shares held
(thousands)
Percentage of
total shares
outstanding
(%)
AllianceBernstein L.P. 52,419 2.53
AXA Rosenberg Investment Management Ltd. 16,951 0.82
AllianceBernstein Japan Ltd. 4,137 0.20
Total 73,507 3.55
Regarding Note 4.: Because Fujitsu was unable to verify the effec-
tive shareholdings listed in the change in large shareholding report
regarding its shares, the companies have not been included in the
above list of principal shareholders.
5. Nikko Citigroup Limited, in conjunction with three affiliates, submit-
ted a change in large shareholding report dated August 19, 2009 to
the Director General of the Kanto Local Finance Bureau containing
information that the companies were obligated to report as of
August 12, 2009. However, Nikko Citigroup Limited, in conjunction
with three affiliates, submitted a revised report dated September
29, 2009 that effectively retracted the earlier change in large share-
holding report.
Furthermore, Nikko Citigroup Limited, in conjunction with two
affiliates, submitted a revised report dated September 15, 2009 to
the Director General of the Kanto Local Finance Bureau that effec-
tively retracted a change in large shareholding report containing
information that the companies were obligated to report as of
October 31, 2007, submitted by Nikko Citigroup Limited together
with two affiliates, on November 7, 2007, and subsequently
amended on November 8, 2007.
Additionally, Nikko Citigroup Limited, in conjunction with two
affiliates, submitted a revised report dated September 15, 2009 to
the Director General of the Kanto Local Finance Bureau that effec-
tively retracted a change in large shareholding report submitted by
Nikko Citigroup Limited together with two affiliates on February 16,
2009, and subsequently amended on April 30, 2009.
Nikko Citigroup Limited, in conjunction with three affiliates, submit-
ted a revised report dated September 15, 2009 to the Director
General of the Kanto Local Finance Bureau to amend a change in
large shareholding report dated August 13, 2007 submitted by
Nikko Citigroup Limited together with two affiliates containing
information that the companies were obligated to report as of
August 6, 2007. The details of the change in shareholding report
are as follows:
Shareholder
Number of
shares held
(thousands)
Percentage of
total shares
outstanding
(%)
Nikko Citigroup Limited 225,736 9.82
Nikko Asset Management Co., Ltd. 9,485 0.41
Citigroup Global Markets Limited 17,974 0.78
Citigroup Global Markets Inc. 599 0.03
Total 253,796 11.04
The number of shares held includes 229,070 thousand residual
shares issuable upon the exercise of warrants.
140 FUJITSU LIMITED Annual Report 2010