UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

Paringa Resources Limited

(Name of Issuer)

Ordinary Shares, no par value

(Title of Class of Securities)

69949M100

(CUSIP Number)

September 30, 2019

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

☑:

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 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. 69949M100

 

  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

 

  53,317,320

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  53,317,320

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9      

 

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  53,317,320

10    

 

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

11    

 

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  10.5%

12    

 

  TYPE OF REPORTING PERSON

 

  FI

 

2


CUSIP NO. 69949M100

 

  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

 

  53,317,320

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  53,317,320

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9      

 

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  53,317,320

10    

 

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

11    

 

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  10.5%

12    

 

  TYPE OF REPORTING PERSON

 

  FI

 

3


CUSIP NO. 69949M100

 

  1      

 

  NAME OF REPORTING PERSON

 

  First Sentier Investors Holdings Pty Ltd

  2    

 

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

 

  3    

 

  SEC USE ONLY

 

  4    

 

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Commonwealth of Australia

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

  53,317,320

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  53,317,320

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9      

 

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  53,317,320

10    

 

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

11    

 

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  10.5%

12    

 

  TYPE OF REPORTING PERSON

 

  FI

 

4


CUSIP NO. 69949M100

 

  1      

 

  NAME OF REPORTING PERSON

 

  First Sentier Investors (Australia) IM Ltd

  2    

 

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)

  (b)

 

  3    

 

  SEC USE ONLY

 

  4    

 

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Commonwealth of Australia

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

  53,317,320

  6     

  SHARED VOTING POWER

 

  -0-

  7     

  SOLE DISPOSITIVE POWER

 

  53,317,320

  8     

  SHARED DISPOSITIVE POWER

 

  -0-

  9      

 

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  53,317,320

10    

 

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

11    

 

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  10.5%

12    

 

  TYPE OF REPORTING PERSON

 

  FI

 

5


CUSIP NO. 69949M100

 

 

ITEM  1

       
   (a)                Name of Issuer   
        Paringa Resources Limited   
   (b)       Address of Issuer’s Principal Executive Offices   
        Level 9, 28 The Esplanade, Perth, Western Australia 6000, Australia   
ITEM 2        
   (a)       Names of Persons Filing   
        Mitsubishi UFJ Financial Group, Inc. (“MUFG”)   
        Mitsubishi UFJ Trust and Banking Corporation (“MUTB”)   
        First Sentier Investors Holdings Pty Ltd (“FSIHD”)   
        First Sentier Investors (Australia) IM Ltd (“FSIAIM”)   
   (b)       Address of Principal Business Office or, if none, Residence   
        MUFG :   
        7-1 Marunouchi 2-chome, Chiyoda-ku   
        Tokyo 100-8330, Japan   
        MUTB :   
        4-5 Marunouchi 1-chome, Chiyoda-ku   
        Tokyo 100-8212, Japan   
        FSIHD :   
    

   Level 5, Tower Three International Towers Sydney,

   300 Barangaroo Avenue, Barangaroo NSW 2000, Australia

  
        FSIAIM :   
    

   Level 5, Tower Three International Towers Sydney,

   300 Barangaroo Avenue, Barangaroo NSW 2000, Australia

  
   (c)       Citizenship   
        MUFG : Tokyo, Japan   
        MUTB : Tokyo, Japan   
        FSIHD : Commonwealth of Australia   
        FSIAIM : Commonwealth of Australia   

 

6


CUSIP NO. 69949M100

 

 

  (d)    Title of Class of Securities
     Ordinary Shares, no par value
  (e)             CUSIP Number
     69949M100 (this CUISIP number is for the issuer’s American Depository Shares, not the Ordinary Shares)

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);

    

(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

 

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);

 

7


CUSIP NO. 69949M100

 

 

         

 

         

   (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
  FSIHD:        (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:     Parent holding company

 

8


CUSIP NO. 69949M100

 

 

FSIAIM:

  

(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

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:

   53,317,320
    

   (b)

  

Percent of class:

   10.5%
    

   (c)

  

Number of shares as to which the person has:

  
       

(i) Sole power to vote or to direct the vote:

   53,317,320
       

(ii) Shared power to vote or to direct the vote:

   -0-
       

(iii) Sole power to dispose or to direct the disposition of:

   53,317,320
       

(iv) Shared power to dispose or to direct the disposition of:

   -0-
                 

   For MUTB

  
    

   (a)

  

Amount beneficially owned:

   53,317,320
    

   (b)

  

Percent of class:

   10.5%

 

9


CUSIP NO. 69949M100

 

 

    

   (c)

  

Number of shares as to which the person has:

  
       

(i) Sole power to vote or to direct the vote:

   53,317,320
       

(ii) Shared power to vote or to direct the vote:

   -0-
       

(iii) Sole power to dispose or to direct the disposition of:

   53,317,320
       

(iv) Shared power to dispose or to direct the disposition of:

   -0-
    

For FSIHD

  
    

   (a)

  

Amount beneficially owned:

   53,317,320
    

   (b)

  

Percent of class:

   10.5%
    

   (c)

  

Number of shares as to which the person has:

  
       

(i) Sole power to vote or to direct the vote:

   53,317,320
       

(ii) Shared power to vote or to direct the vote:

   -0-
       

(iii) Sole power to dispose or to direct the disposition of:

   53,317,320
       

(iv) Shared power to dispose or to direct the disposition of:

   -0-
    

For FSIAIM

  
    

   (a)

  

Amount beneficially owned:

   53,317,320
    

   (b)

  

Percent of class:

   10.5%
    

   (c)

  

Number of shares as to which the person has:

  
       

(i) Sole power to vote or to direct the vote:

   53,317,320
       

(ii) Shared power to vote or to direct the vote:

   -0-
       

(iii) Sole power to dispose or to direct the disposition of:

   53,317,320
       

(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 October 31, 2019, MUFG beneficially owns 53,317,320 ordinary shares of the issuer indirectly through its subsidiaries as follows: MUTB holds 53,317,320 ordinary shares (indirectly through a subsidiary, FSIHD); and FSIHD holds 53,317,320 ordinary shares (indirectly through a subsidiary, FSIAIM).

 

10


CUSIP NO. 69949M100

 

 

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 I certify that, to the best of my 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.

 

11


CUSIP NO. 69949M100

 

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.

 

November 8, 2019

Mitsubishi UFJ Financial Group, Inc.

By:

 

/s/ Ryuichiro Sakuma

Name:

 

Ryuichiro Sakuma

Title:

 

Managing Director,

Head of Equity Portfolio Management Dept.

 

12


CUSIP NO. 69949M100

 

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.

 

November 8, 2019

Mitsubishi UFJ Trust and Banking Corporation

By:

 

/s/ Masahiro Saruta

Name:

 

Masahiro Saruta

Title:

 

Managing Executive Officer and General Manager,

Asset Management and Investor Services Planning Division

 

13


CUSIP NO. 69949M100

 

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.

 

November 8, 2019

First Sentier Investors Holdings Pty Ltd

By:

 

/s/ Yutaka Kawakami

Name:

 

Yutaka Kawakami

Title:

  Deputy CEO

 

14


CUSIP NO. 69949M100

 

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.

 

November 8, 2019

First Sentier Investors (Australia) IM Ltd

By:

 

/s/ David Dixon

Name:

 

David Dixon

Title:

 

Director

 

15