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Stock Information Daiwa Securities Group Inc. Corporate Data 230 Daiwa Securities Group Integrated Report 2019 Daiwa Securities Group Inc. Corporate Data Head Office Common Stock Transfer Agent and Registrar GranTokyo North Tower Issued and Outstanding Sumitomo Mitsui Trust Bank, Limited 9-1, Marunouchi 1-chome, Chiyoda-ku, 1,699,378,772 shares Stock Transfer Agency Department Tokyo 100-6751, Japan (as of March 31, 2019) 1-4-1, Marunouchi, Chiyoda-ku, Tel: (81) 3-5555-1111 Tokyo 100-8233, Japan Number of Shareholders Website 157,073 (as of March 31, 2019) For further information, please contact: http://www.daiwa-grp.jp/english/ Daiwa Securities Group Inc. Independent Public Accountant Investor Relations Office Commencement of Operations KPMG AZSA LLC Tel: (81) 3-5555-1300 May 1, 1902 Fax: (81) 3-5555-0661 Stock Exchange Listings Email: [email protected] Date of Founding Tokyo, Nagoya URL: http://www.daiwa-grp.jp/english/ir/ December 27, 1943 Stock Information 1. Stock Price and Trading Volume on the Tokyo Stock Exchange (April 1, 2018– March 31, 2019) (Yen) (Thousand shares) 900 300,000 600 Stock price (left) 200,000 300 Trading volume (right) 100,000 0 4/18 5/18 6/18 7/18 8/18 9/18 10/18 11/18 12/18 1/19 2/19 3/19 (Month/year) 0 2. Major Shareholders (As of March 31, 2019) Number of shares held % of total Name (Thousands) outstanding shares The Master Trust Bank of Japan, Ltd. Trust Account 99,637 6.36% Japan Trustee Services Bank, Ltd. Trust Account 66,454 4.24% Barclays Capital Securities Ltd. 34,291 2.18% Nippon Life Insurance Company 31,164 1.98% Taiyo Life Insurance Company 31,140 1.98% Japan Trustee Services Bank, Ltd. Trust Account 5 31,110 1.98% JAPAN POST HOLDINGS Co., Ltd. 30,000 1.91% JP MORGAN CHASE BANK 385151 27,317 1.74% STATE STREET BANK WEST CLIENT – TREATY 505234 25,142 1.60% Japan Trustee Services Bank, Ltd. Trust Account 7 21,793 1.39% Note: Treasury stock of 133,081,441 shares is excluded for calculating the percentage of the above list of major shareholders. 3. Stock Price on the Tokyo Stock Exchange 4. Breakdown of Shareholders (As of March 31, 2019) (April 1, 2018–March 31, 2019) 12.4% Average daily Japanese individuals Open High Low Close trading volume Japanese financial institutions and 6,639 27.2% insurance companies ¥678.3 ¥716.9 ¥523.7 ¥539.0 thousand shares 24.9% Other Japanese corporations Foreign corporations and individuals 29.7% Others 5.8% Daiwa Securities Group’s Daiwa Securities Group’s Business Strategy Retail Sales Reform Strategies by Division HR Strategy Governance Strategy Financial Section Other Information 231 Officers (As of August 1, 2019) Daiwa Securities Group Inc. Directors Corporate Executive Officers Executive Officers (Members of the Board) Chairman of the Board Outside Directors President and CEO Executive Managing Senior Executive Senior Managing Takashi Hibino Tadashi Onodera Seiji Nakata* Directors Managing Directors Directors Michiaki Ogasawara Junichi Arihara Shinji Kawakami Yukiko Takeuchi (CRO and CDO) Directors Hirotaka Takeuchi Deputy Presidents Hironori Oka Naoki Suzuki Yoshifumi Otsuka Seiji Nakata Ikuo Nishikawa Toshihiro Matsui* (COO) Atsushi Itaya Kana Shirakawa Toshihiro Matsui Eriko Kawai Kazuo Takahashi Executive Managing (CHO) Directors Kazuo Takahashi Katsuyuki Nishikawa Keiko Tashiro Takayuki Sawano Keiko Tashiro Koichi Matsushita Senior Managing Hideki Araki Mikita Komatsu Yoriyuki Kusaki Director Tomoyuki Murase Masahisa Nakagawa Eiji Sato (CFO) Shiko Yanagisawa Sachiko Hanaoka Senior Executive Managing Directors Corporate Executive Mikita Komatsu Officer Masahisa Nakagawa (CIO) Takashi Hibino Shinsuke Niizuma Akihiko Ogino * Representative Corporate Executive Officers Daiwa Securities Co. Ltd. Directors Audit & Supervisory Executive Officers (Members of the Board) Board Members Chairman of the Board Senior Executive Shuzo Takami Executive Managing Senior Managing Senior Managing Takashi Hibino* Managing Directors Sumiyuki Akaiwa* Directors Directors Directors Masahiro Kobayashi Sachiko Hanaoka Yoshifumi Otsuka Tomoki Igura Mineo Takatsuka President Keisuke Natsume Hiroshi Obayashi* Tomoo Fujioka Kei Sano Tsutomu Takahashi Seiji Nakata* Yoshinori Matsumoto Kana Shirakawa Futoshi Sekine Yoshiaki Tanaka * Outside Audit & Naoto Shimomura Supervisory Board Hirotaka Shirokawa Tomonori Tsuji Takaaki Narieda Members Deputy Presidents Shinsuke Niizuma Mitsuru Fujita Eiji Sato Yukiko Takeuchi Toshihiro Matsui* Akihiko Ogino Tomoyuki Murase Toru Yamamoto Tomohide Wakayama Kazuo Takahashi* Sungho Kang Junichi Serizawa Takashi Yamada Keiko Tashiro* Executive Managing Toshiya Tadokoro Hidenobu Shirota Atsushi Itaya Directors Hiroko Sakurai Isao Tsujioka Kenichi Ueno Hiromi Uemura Senior Executive Hiroki Ikeda Tsutomu Kobayashi Managing Directors Masataka Tsujimoto Koichi Maruo Hiroyuki Nomura Yuichi Akai Hiroshi Hara Shinji Kawakami* Yasushi Iwasaki Mikita Komatsu Yoshihisa Kaneko Masahisa Nakagawa Atsushi Mochizuki Junichi Arihara * Representative Directors 232 Daiwa Securities Group Integrated Report 2019 Domestic Group Companies (As of August 1, 2019) Daiwa Securities Co. Ltd. Daiwa PI Partners Co. Ltd. GranTokyo North Tower GranTokyo North Tower 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6752, Japan 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6730, Japan Tel: +(81) 3-5555-2111 Tel: +(81) 3-5555-6001 Daiwa Asset Management Co. Ltd. Daiwa Energy & Infrastructure Co. Ltd. GranTokyo North Tower GranTokyo North Tower 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6753, Japan 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6730, Japan Tel: +(81) 3-5555-3111 Tel: +(81) 3-5555-6100 Daiwa Institute of Research Holdings Ltd. Daiwa Fund Consulting Co. Ltd. 15-6, Fuyuki, Koto-ku, Tokyo 135-8460, Japan GranTokyo North Tower Tel: +(81) 3-5620-5501 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6756, Japan Tel: +(81) 3-5555-6550 Daiwa Institute of Research Ltd. 15-6, Fuyuki, Koto-ku, Tokyo 135-8460, Japan Daiwa Real Estate Asset Management Co. Ltd. Tel: +(81) 3-5620-5100 2-1, Ginza 6-chome, Chuo-ku, Tokyo 104-0061, Japan Tel: +(81) 3-6215-9500 Daiwa Institute of Research Business Innovation Ltd. 1-14-5 Eitai, Koto-ku, Tokyo 135-0034, Japan Daiwa Investor Relations Co. Ltd. Tel: +(81) 3-5931-8600 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo 104-0031, Japan Tel: +(81) 3-5555-4111 Daiwa Securities Business Center Co. Ltd. 3-2, Toyo 2-chome, Koto-ku, Tokyo 135-0016, Japan Daiwa Office Services Co., Ltd. Tel: +(81) 3-5633-6100 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo 104-0031, Japan Tel: +(81) 3-5555-6200 Daiwa Property Co., Ltd. 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo 104-0031, Japan Retela Crea Securities Co., Ltd. Tel: +(81) 3-5555-4700 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo 104-0031, Japan Tel: +(81) 3-6385-0611 Daiwa Next Bank, Ltd. GranTokyo North Tower Fintertech Co. Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6756, Japan 6th floor, Atlas building Tel: +(81) 3-5555-6500 5, Ichibancho, Chiyoda-ku, Tokyo, 102-0082, Japan Tel: +(81) 3-3222-7333 Daiwa Corporate Investment Co., Ltd. GranTokyo North Tower 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6756, Japan Tel: +(81) 3-5555-6300 Daiwa Securities Group’s Daiwa Securities Group’s Business Strategy Retail Sales Reform Strategies by Division HR Strategy Governance Strategy Financial Section Other Information 233 Overseas Group Companies (As of August 2019) Daiwa Securities Group Inc. Daiwa Capital Markets America Inc. Daiwa Capital Markets Hong Kong Limited New York Head Office One Pacific Place, 88 Queensway, Hong Kong Financial Square, 32 Old Slip, New York, NY 10005 Tel: +(852) 2525-0121 Tel: +(1) 212-612-7000 Daiwa Capital Markets Singapore Limited San Francisco Branch Singapore Head Office 555 California Street, Suite 4325, San Francisco, CA 94104 7 Straits View, Marina One East Tower #16-05/06, Singapore 018936 Tel: +(1) 415-955-8100 Tel: +(65) 6387-8888 Daiwa Corporate Advisory LLC (New York) Sydney Branch 605 Third Avenue 11th Floor New York, NY 10158 Aurora Place (15th Floor) 88 Phillip St., Sydney NSW 2000 Tel: +(1) 212-904-9400 Tel: +(61) 2-8199-1500 Daiwa Capital Markets Europe Limited Daiwa Securities Capital Markets Korea Co., Ltd. London Head Office 21 Fl. One IFC, 10 Gukjegeumyung-Ro, Yeongdeungpo-Gu, Seoul, 07326 5 King William Street, London EC4N 7AX Tel: +(82) 2-787-9100 Tel: +(44) 20-7597-8000 Daiwa Capital Markets Australia Limited Geneva Branch Level 34, Rialto North Tower, 525 Collins Street, Melbourne, Victoria 3000 50, rue du Rhône, P.O. Box 3198, 1211 Geneva 3 Tel: +(61) 3-9916-1300 Tel: +(41) 22-818-74-00 Daiwa Capital Markets India Private Limited Bahrain Branch 10th Floor, 3 North Avenue, Maker Maxity, Bandra-Kurla Complex, 31st Floor, East Tower, Bahrain World Trade Center, Bandra East, Mumbai 400051 P.O. Box 30069, Manama Tel: +(91) 22-6622-1000 Tel: +(973) 1753-4452 Daiwa-Cathay Capital Markets Co., Ltd. Paris Representative Office 14th Floor, 200 Keelung Road, Sec. 1, Taipei 17, rue de Surène 75008 Paris Tel: +(886) 2-2723-9698 Tel: +(33) 1-56-26-22-00 DBP-Daiwa Capital Markets Philippines, Inc. Moscow Representative Office 18th Floor, Citibank Tower, 8741 Paseo de Roxas, Salcedo Village, Makati 11, Gogolevsky boulevard, 2nd Floor, Moscow, 119019 City Tel: +(7) 495-641-3416 Tel: +(632) 737-3000 Daiwa Capital Markets Deutschland GmbH Daiwa (Shanghai) Corporate Strategic Advisory Co. Neue Mainzer Str. 1, 60311 Frankfurt am Main Ltd. Tel: +(49) 69-27139-8100 44/F, Hang Seng Bank Tower, 1000 Lujiazui Ring Road, Pudong, Shanghai Daiwa Corporate Advisory Limited (UK) Tel: +(86) 21-6841-3292 5 King William Street, London EC4N 7DA Tel: +(44) 20-7856-0999 Myanmar Securities Exchange Centre Co., Ltd. 21-25 Sule Pagoda Road, Yangon Daiwa Corporate Advisory GmbH (Germany) Tel: +(95) 1-374894 Neue Mainzer Str. 1, 60311 Frankfurt am Main Tel: +(49) 69-9720-040 Daiwa Corporate Advisory SAS (France) 17, rue de Surène 75008 Paris Tel: +(33) 1-4212-4900 Daiwa Securities Co.
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