-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Iz3idiEgcLjWYtL1IfuPv4A8EvP1J2PLodaHNNM7o5bFNt5dYtxjpb0/bh5kszyS WgKA8zV0hBRI6BTeqXGCnw== 0000950142-03-001538.txt : 20030912 0000950142-03-001538.hdr.sgml : 20030912 20030912150522 ACCESSION NUMBER: 0000950142-03-001538 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030912 GROUP MEMBERS: MITSUBISHI TOKYO FINANCIAL GROUP, INC. GROUP MEMBERS: THE BANK OF TOKYO - MITSUBISHI, LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIONBANCAL CORP CENTRAL INDEX KEY: 0001011659 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 941234979 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48533 FILM NUMBER: 03893775 BUSINESS ADDRESS: STREET 1: 400 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104-1476 BUSINESS PHONE: 4157652969 MAIL ADDRESS: STREET 1: 400 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104-1476 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF TOKYO - MITSUBISHI LTD CENTRAL INDEX KEY: 0000852743 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 135611741 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 7-1 MARUNOUCHI 2-CHOME STREET 2: CHIYODA-KU CITY: TOKYO 100-8388, STATE: M0 ZIP: 00000 BUSINESS PHONE: 2127824547 MAIL ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020-1104 FORMER COMPANY: FORMER CONFORMED NAME: BANK OF TOKYO MITSUBISHI LTD DATE OF NAME CHANGE: 19981209 FORMER COMPANY: FORMER CONFORMED NAME: MITSUBISHI BANK LTD DATE OF NAME CHANGE: 19981209 SC 13G/A 1 sc13ga5-unionbancal.txt AMENDMENT NO. 5 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 5)* UNIONBANCAL CORPORATION (Name of Issuer) COMMON STOCK (Title of Class of Securities) 908906100 (CUSIP Number) SEPTEMBER 4, 2003 (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) [X] 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. 908906100 --------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entitles only) Mitsubishi Tokyo 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 91,732,217 BENEFICIALLY ---------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 PERSON ---------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 91,732,217 ---------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 91,732,217 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 63.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 2 of 6 CUSIP No. 908906100 --------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entitles only) The Bank of Tokyo - Mitsubishi, 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 91,732,217 BENEFICIALLY ---------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 PERSON ---------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 91,732,217 ---------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 91,732,217 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 63.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Page 3 of 6 CUSIP No. 908906100 --------- THIS AMENDMENT NO. 5 AMENDS AND RESTATES IN ITS ENTIRETY ITEMS 1 THROUGH 10 OF THE SCHEDULE 13G FILED BY THE BANK OF TOKYO-MITSUBISHI, LTD. ("BTM") REGARDING THE COMMON STOCK, PAR VALUE $.01 PER SHARE (THE "STOCK"), OF UNIONBANCAL CORPORTION (THE "COMPANY"). THIS AMENDMENT REFLECTS THE FORMATION OF A HOLDING COMPANY, MITSUBISHI TOKYO FINANCIAL GROUP, INC., ("MTFG") OF WHICH BTM HAS BECOME A WHOLLY-OWNED SUBSIDIARY. BTM REMAINS THE DIRECT OWNER OF THE STOCK. ITEM 1 (a) NAME OF ISSUER UnionBanCal Corporation (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 400 California Street San Francisco, California 94104-1476 ITEM 2 (a) NAME OF PERSONS FILING Mitsubishi Tokyo Financial Group, Inc. The Bank of Tokyo-Mitsubishi, Ltd. (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE MTFG: 4-1, Marunouchi 1-chome Chiyoda-ku, Tokyo 100-6326, Japan BTM: 7-1, Marunouchi 2-chome Chiyoda-ku, Tokyo 100-8388, Japan (c) CITIZENSHIP N/A (d) TITLE OF CLASS OF SECURITIES Common Stock (e) CUSIP NUMBER 908906100 ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: (a) [_] Broker dealer registered under section 15 of the Act (15 U.S.C. 780). (b) [_] Bank as defined in section 3 (a) (6) of the Act (15 U.S.C. 78c). (c) [_] Insurance company as fined 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); Page 4 of 6 CUSIP No. 908906100 --------- (f) [_] An employee benefit plan or endowment fund in accordance with 240.13d-1(b) (1) (ii) (G); (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) [_] Group, in accordance with 240.13d ITEM 4 OWNERSHIP Provide the following information regarding the aggregate number and percent of the class of securities of the issuer identified in Item 1. For MTFG (a) Amount Beneficially Owned: 91,732,217 (b) Percent of Class: 63.3% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 91,732,217 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 91,732,217 (iv) Shared power to dispose or to direct the disposition of: 0 For BTM (a) Amount Beneficially Owned: 91,732,217 (b) Percent of Class: 63.3% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 91,732,217 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 91,732,217 (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. Page 5 of 6 CUSIP No. 908906100 --------- ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable. ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. ITEM 9 NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10 CERTIFICATION Not applicable. * * * * * 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: September 11, 2003 MITSUBISHI TOKYO FINANCIAL GROUP, INC. By: /s/ Masaaki Tanaka ------------------------------------------------ Name: Masaaki Tanaka Title: General Manger, Corporate Policy Division THE BANK OF TOKYO-MITSUBISHI, LTD. By: /s/ Kyota Ohmori ------------------------------------------------ Name: Kyota Ohmori Title: Managing Director and General Manger Corporate Planning Office Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----