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Quarterly Report [Translation] Quarterly Report (The Third Quarter of 149th Business Term) From October 1, 2017 to December 31, 2017 6-6, Marunouchi 1-chome, Chiyoda-ku, Tokyo Hitachi, Ltd. [Cover] [Document Filed] Quarterly Report (“Shihanki Hokokusho”) [Applicable Law] Article 24-4-7, Paragraph 1 of the Financial Instruments and Exchange Act of Japan [Filed with] Director, Kanto Local Finance Bureau [Filing Date] February 7 , 2018 [Fiscal Year] The Third Quarter of 149th Business Term (from October 1, 2017 to December 31, 2017) [Company Name] Kabushiki Kaisha Hitachi Seisakusho [Company Name in English] Hitachi, Ltd. [Title and Name of Representative] Toshiaki Higashihara, President & CEO [Address of Head Office] 6-6, Marunouchi 1-chome, Chiyoda-ku, Tokyo [Phone No.] 03-3258-1111 [Contact Person] Masachika Sawada, Manager, Legal Division [Contact Address] 6-6, Marunouchi 1-chome, Chiyoda-ku, Tokyo [Phone No.] 03-3258-1111 [Contact Person] Masachika Sawada, Manager, Legal Division [Place Where Available for Public Tokyo Stock Exchange, Inc. Inspection] (2-1, Nihombashi Kabutocho, Chuo-ku, Tokyo) Nagoya Stock Exchange, Inc. (8-20, Sakae 3-chome, Naka-ku, Nagoya) This is an English translation of the Quarterly Report filed with the Director of the Kanto Local Finance Bureau via Electronic Disclosure for Investors’ NETwork (“EDINET”) pursuant to the Financial Instruments and Exchange Act of Japan. The translation of the Confirmation Letter for the original Quarterly Report is included at the end of this document. Unless the context indicates otherwise, the term “Company” refers to Hitachi, Ltd. and the term “Hitachi” refers to the Company and its consolidated subsidiaries. Unless otherwise stated, in this document, where we present information in millions or hundreds of millions of yen, we have truncated amounts of less than one million or one hundred million, as the case may be. Accordingly, the total of figures presented in columns or otherwise may not equal the total of the individual items. We have rounded all percentages to the nearest percent, one- tenth of one percent or one-hundredth of one percent, as the case may be. References in this document to the “Financial Instruments and Exchange Act” are to the Financial Instruments and Exchange Act of Japan and other laws and regulations amending and/or supplementing the Financial Instruments and Exchange Act of Japan. Contents Part I Information on the Company ……………………………………………………………………………………………… 1 I. Overview of the Company …………………………………………………………………………………………………… 1 1. Key Financial Data ……………………………………………………………………………………………………… 1 2. Description of Business …………………………………………………………………………………………………… 1 II. Business Overview ………………………………………………………………………………………………………… 2 1. Risk Factors ……………………………………………………………………………………………………………… 2 2. Material Agreements, etc. ………………………………………………………………………………………………… 2 3. Analyses of Consolidated Financial Condition, Operating Results and Cash Flows …………………………………… 2 III. Information on the Company ……………………………………………………………………………………………… 8 1. Information on the Company’s Stock, etc. ……………………………………………………………………………… 8 (1) Total number of shares, etc. …………………………………………………………………………………………… 8 (2) Information on the stock acquisition rights, etc. ……………………………………………………………………… 8 (3) Information on moving strike convertible bonds, etc. ………………………………………………………………… 8 (4) Information on shareholder right plans ……………………………………………………………………………… 8 (5) Changes in the total number of issued shares and the amount of common stock and other ………………………… 8 (6) Major shareholders …………………………………………………………………………………………………… 8 (7) Information on voting rights ………………………………………………………………………………………… 9 2. Changes in Senior Management ………………………………………………………………………………………… 10 IV. Financial Information ……………………………………………………………………………………………………… 10 Part II Information on Guarantors, etc. for the Company ………………………………………………………………………… 10 [Condensed Quarterly Consolidated Financial Statements] ……………………………………………………………………… F1 [Confirmation Letter] ……………………………………………………………………………………………………………… A1 Part I Information on the Company I. Overview of the Company 1. Key Financial Data Consolidated financial data, etc. (Millions of yen, unless otherwise stated) Nine months ended Nine months ended Year ended December 31, 2016 December 31, 2017 March 31, 2017 6,519,311 6,674,028 Revenues 9,162,264 [2,165,537] [2,297,561] Income from continuing operations, before 356,963 468,152 469,091 income taxes Net income attributable to Hitachi, Ltd. 191,264 258,582 231,261 stockholders [77,764] [97,969] Comprehensive income attributable to Hitachi, 208,520 324,628 299,397 Ltd. stockholders Total Hitachi, Ltd. stockholders’ equity 2,884,773 3,220,508 2,967,085 Total equity 4,066,913 4,449,438 4,096,995 Total assets 9,640,179 10,196,152 9,663,917 Earnings per share attributable to Hitachi, Ltd. 39.61 53.56 47.90 stockholders, basic (yen) [16.11] [20.29] Earnings per share attributable to Hitachi, Ltd. 39.60 53.51 47.88 stockholders, diluted (yen) Total Hitachi, Ltd. stockholders’ equity ratio (%) 29.9 31.6 30.7 Net cash provided by operating activities 379,177 473,210 629,582 Net cash used in investing activities (200,648) (314,238) (337,955) Net cash provided by (used in) financing (112,026) (142,413) (209,536) activities Cash and cash equivalents at end of period 763,416 811,324 765,242 (Notes) 1. Hitachi's consolidated financial statements have been prepared in conformity with the International Financial Reporting Standards (“IFRS”) as issued by the International Accounting Standards Board. 2. Revenues do not include the consumption tax, etc. 3. The figures of “Revenues,” “Net income attributable to Hitachi, Ltd. stockholders” and “Earnings per share attributable to Hitachi, Ltd. stockholders, basic” in square bracket are those for the three months ended December 31, 2016 and 2017, respectively. 2. Description of Business There were no material changes in principal businesses of Hitachi during the nine months ended December 31, 2017. The Hitachi Group is comprised of the Company, 885 consolidated subsidiaries, and 398 equity-method associates and joint-ventures. Changes in principal affiliated companies during the nine months ended December 31, 2017 were as follows. Positioning of principal affiliated companies Main products and services Manufacturing Sales and services Information & [Consolidated subsidiaries] Telecommunication （Change in company name） Systems Hitachi Vantara Corporation Social Infrastructure & [Consolidated subsidiaries] Industrial （New） Systems Sullair US Purchaser, Inc. (Notes) 1. Hitachi Data Systems Corporation changed its name to Hitachi Vantara Corporation as of September 26, 2017. 2. Sullair US Purchaser, Inc. has become a consolidated subsidiary of the Company on July 12, 2017 as Hitachi America, Ltd., a consolidated subsidiary of the Company, acquired Sullair US Purchaser, Inc., which is the holding company of companies that manufacture and sell air compressors with the “Sullair” brand. 1 II. Business Overview 1. Risk Factors There were no new risk factors recognized during the nine months ended December 31, 2017. There were no material changes in the risk factors stated in the Annual Securities Report for the 148th business term pursuant to the Financial Instruments and Exchange Act of Japan. 2. Material Agreements, etc. No material agreements were entered into during the three months ended December 31, 2017. The material agreement renewed after the end of three months ended December 31, 2017 until the filing date is as follows. Cross License Agreement Item under Contract Party Party Country contract description Contract period Information From January 1, 2008 to the Hitachi, Ltd. International Business Cross license U.S.A. handling expiration of patents applied (The Company) Machines Corp. of patents systems on or before January 1, 2023 3. Analyses of Consolidated Financial Condition, Operating Results and Cash Flows (1) Outline of Business Results Results of Operations During the nine months ended December 31, 2017, the global economy expanded at a moderate pace. In the U.S., consumer spending and capital investment remained firm. In Europe, mainly in Germany, the economy continued to recover slowly. In China, increases in infrastructure spending and consumer spending underpinned economic growth. The Japanese economy has continued its moderate recovery trend, reflecting firm consumer spending due to improving employment and income and upward trend in capital investment. Under these conditions, results of operations in the nine months ended December 31, 2017 were as follows. Revenues increased 2% to ¥6,674.0 billion, as compared with the nine months ended December 31, 2016, due mainly to higher revenues in the Construction Machinery segment, in which overseas sales has increased mainly in China, and in the High Functional Materials & Components segment, in which sales of the electronics- and automotive-related products has increased. The increase was partially offset by the effect of the move to transform business portfolio such as conversion of Hitachi Capital Corporation and Hitachi Transport System, Ltd. to equity-method associates and deconsolidation of Hitachi Koki Co., Ltd. in the year ended March 31, 2017. Cost of sales increased 2% to ¥4,896.9 billion, as compared with the nine months ended December 31, 2016, and the ratio of cost of sales to revenues decreased 1% to 73%. Gross profit increased 4% to ¥1,777.0 billion, as compared with the nine months ended December 31, 2016. Selling, general and administrative expenses
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