Changes in Number of Listed Shares, Etc. in Connection with Exercise of Subscription Warrants, Etc
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Aug. 2017 (Reference Translation) TSE NOTICE Sep. 20, 2017 (Wed.) [Attachment] Changes in Number of Listed Shares, etc. in Connection with Exercise of Subscription Warrants, etc. (Relevant Period Aug. 1, 2017 - Aug. 31, 2017) (Note) 1. No. of Listed Shares at End of Month No. of listed shares for Common Stock, Preferred Stock, etc. (*Code 2593-5 is Type-1 Preferred Stock of ITO EN, LTD.) When exercising Subscription Warrants in cases where treasury stocks will be transferred, the number of listed shares may not increase even after decreasing the residual amount of bonds, etc. After acquiring CBs subject to call in cases where retirement has not been conducted, the number of listed shares may increase without a decrease in the residual amount of bonds. 2. Primary Reasons for Changes Exercise of Bonds with Subscription Warrants …Due to Exercise of Bonds with Subscription Warrants Conversion of Preferred Stock, etc. …Due to Conversion of Stock (Preferred Stock, etc.) which can be converted into another type of Stock Exercise of CBs …Due to Exercise of CBs Exercise of Subscription Warrants …Due to Exercise of Subscription Warrant, and new share issuance by acquisition of Share Options subject to Call Public Offering …Due to Public Offering and Overseas Offering Third-Party Allotment, etc. …Due to Third-Party Allotment, Green Shoe Option (pursuant to the Cabinet Office Ordinance on the Disclosure of Corporate Affairs, etc. Article 19, Paragraph 2, Item 1, sub-item L.1), Allotment of New Shares as stock-based remuneration and Private Placement to Specified Investors for listed companies on TOKYO PRO Market Retirement of Treasury Stocks …Due to Retirement of Treasury Stocks 3. Bond Code, etc. (1) * …indicates listed securities. (2) Type of Bond, etc. PS …Stock (Preferred Stock, etc.) that can be converted into another type of stock CB …Convertible Bond WB …Bond with Subscription Warrant (3) Regarding subscription warrants, only issues for which a report has been received from the issuer, which states that the possibility of new stock issuance, are eligible for publication. (Issues for which a report has been received, which states that all treasury stocks will be transferred/swapped, will not be published.) 4. Display of Stock (Preferred Stock, etc.) that can be converted into another type of stock Bond Symbol, etc. Company Name (Code) Indicator Details in this Document Sumiseki Holdings,Inc. 1514 PS1 Class 2 Preferred Stock MAXVALU TOHOKU CO.,LTD. 2655 PS1 Class A Classified Stock OMIKENSHI CO.,LTD. 3111 PS1 Class A Preferred Stock MEGANESUPER CO.,LTD. 3318 PS1 Class B Preferred Stock PS2 Class A Subordinated Stock PS3 Class B Subordinated Stock(Feb. 2014 Resolution based) Daiichi Kasei Co.,Ltd. 4235 PS1 Class A Preferred Stock TAIYO HOLDINGS CO.,LTD. 4626 PS1 No. 1 Class A Classified Stock PS2 No. 2 Class A Classified Stock Nippon Sheet Glass Company,Limited 5202 PS1 Class A Classified Stock Sharp Corporation 6753 PS1 Class C Classified Stock AIREX INC. 6944 PS1 Class A Preferred Stock Nippon Avionics Co.,Ltd. 6946 PS1 Class 1 Preferred Stock Mitsubishi Nichiyu Forklift Co.,Ltd. 7105 PS1 Class A Classified Stock Jimoto Holdings,Inc. 7161 PS1 Class B Preferred Stock PS2 Class C Preferred Stock PS3 Class D Preferred Stock ATOM CORPORATION 7412 PS1 No. 1 Preferred Stock PS2 No. 2 Preferred Stock PS3 No. 3 Preferred Stock PS4 No. 4 Preferred Stock CYBERDYNE,INC. 7779 PS1 Class B Classified Stock ARRK CORPORATION 7873 PS1 Class B Preferred Stock Saikaya Department Store Co.,Ltd. 8254 PS1 Class A Preferred Stock Tsukuba Bank,Ltd. 8338 PS1 Class 4 Preferred Stock THE TOHOKU BANK,LTD. 8349 PS1 Class 1 Preferred Stock THE MICHINOKU BANK,LTD. 8350 PS1 Class A Preferred Stock THE BANK OF KOCHI,LTD. 8416 PS1 Class 1 Preferred Stock The Daisan Bank,Ltd. 8529 PS1 Class A Preferred Stock Kansai Urban Banking Corporation 8545 PS1 Class 1 Preferred Stock - 1 - Aug. 2017 Bond Symbol, etc. Company Name (Code) Indicator Details in this Document THE TOWA BANK,LTD. 8558 PS1 Class 2 Preferred Stock APLUS FINANCIAL Co.,Ltd. 8589 PS1 Class H Preferred Stock PS2 No. 1 Class B Preferred Stock PS3 Class D Preferred Stock FIDEA Holdings Co.Ltd. 8713 PS1 Class B Preferred Stock RISE Inc. 8836 PS1 Class A Preferred Stock DAIKYO INCORPORATED 8840 PS1 No. 1 Class 1 Preferred Stock LAND Co.,Ltd. 8918 PS1 Class A Classified Stock Tokyo Electric Power Company Holdings,Incorporated 9501 PS1 Class A Preferred Stock PS2 Class B Preferred Stock THE KAMOGAWA GRAND HOTEL,LTD. 9695 PS1 Class A Preferred Stock THE ROYAL HOTEL,LIMITED 9713 PS1 No. 1 Class A Preferred Stock - 2 - Aug. 2017 (Reference Translation) [Correction] Details for the relevant period Jul. 01, 2017 - Jul. 31, 2017 have been partially corrected as follows. (Aug. 18, 2017 (Attachment Published), Relevant Period Jul. 01, 2017 - Jul. 31, 2017) No. of Listed Shares Altered No. of Alteration Value, Value, etc. after Page Company Name (Code) Reason for Alteration Bond Symbol, etc. at End of Month Shares etc. Alteration Exercise of Apr. 2017 25 A.D.Works Co.,Ltd. 3250 (Correction) 238,020,193 Shares 13,844,193 Shares 13,822,193 Shares Subscription Warrants Resolution based 1 Exercise of Apr. 2017 (Error) 224,198,000 Shares 22,000 Shares 0 Shares Subscription Warrants Resolution based 1 83 Imasen Electric Industrial Co.,Ltd. 7266 (Correction) 21,092,068 shares Exercise of CB 34,417 shares CB 3 38,000 thou. JPY 277,000 thou. JPY (Error) 21,092,067 shares Exercise of CB 34,416 shares CB 3 38,000 thou. JPY 277,000 thou. JPY - 3 - Aug. 2017 (Reference Translation) By Company No. of Listed Shares Altered Alteration Value, etc. Company Name (Code) at End of Month Reason for Alteration No. of Shares Bond Symbol, etc. Value, etc. after Alteration Remarks Shares Shares KYOKUYO CO.,LTD. (1301) 10,928,283 Exercise of CB 0 CB 18. 12 JPY 0 thou. JPY 2,785,000 thou. JPY Nippon Suisan Kaisha,Ltd. (1332) 312,430,277 0 Maruha Nichiro Corporation (1333) 52,656,910 0 HOHSUI CORPORATION (1352) 83,790,000 0 KANEKO SEEDS CO.,LTD. (1376) 11,772,626 0 SAKATA SEED CORPORATION (1377) 48,410,750 0 HOKUTO CORPORATION (1379) 33,359,040 0 AKIKAWA FOODS & FARMS CO.,LTD. (1380) 4,179,000 0 AXYZ CO.,Ltd. (1381) 5,617,500 0 HOB Co.,Ltd. (1382) 762,000 0 Berg Earth co.,ltd. (1383) 1,269,900 Exercise of Subscription Warrants 0 May 2016 Resolution based 1 0 Shares Hokuryo Co.,Ltd. (1384) 8,459,000 0 RUDEN HOLDINGS CO.,Ltd. (1400) 10,111,300 Exercise of Subscription Warrants 0 Mar. 2013 Resolution based 1 0 Shares mbs,inc. (1401) 7,275,000 0 West Holdings Corporation (1407) 27,235,200 0 Something Holdings Co.,Ltd. (1408) 4,114,200 Exercise of Subscription Warrants 0 Mar. 2015 Resolution based 1 0 Shares Hinokiya Holdings Co.,Ltd. (1413) 13,575,000 0 SHO-BOND Holdings Co.,Ltd. (1414) 28,372,590 Aug. 31 Retirement of Treasury Stocks -730,000 MIRAIT Holdings Corporation (1417) 85,381,866 Exercise of CB 0 CB 21. 12 JPY 0 thou. JPY 16,500,000 thou. JPY INTERLIFE HOLDINGS CO.,LTD. (1418) 20,010,529 0 Tama Home Co.,Ltd. (1419) 30,055,800 0 Sanyo Homes Corporation (1420) 12,620,000 0 Nippon Aqua Co.,Ltd. (1429) 36,220,000 Exercise of Subscription Warrants 0 Feb. 2013 Resolution based 1 0 Shares First-corporation Inc. (1430) 13,331,040 0 DORYOKU Co.,Ltd. (1432) 2,066,000 Exercise of Subscription Warrants 0 Mar. 2015 Resolution based 1 0 Shares Mar. 2015 Resolution based 2 0 Shares BESTERRA CO.,LTD (1433) 8,341,200 Exercise of Subscription Warrants 14,400 Apr. 2014 Resolution based 1 0 Shares Apr. 2015 Resolution based 1 14,400 Shares JESCO Holdings,Inc. (1434) 6,338,900 Exercise of Subscription Warrants 0 Dec. 2013 Resolution based 1 0 Shares investors cloud co.,ltd. (1435) 15,811,800 Exercise of Subscription Warrants 0 Jul. 2014 Resolution based 1 0 Shares Fit Inc. (1436) 4,282,200 Exercise of Subscription Warrants 0 Dec. 2014 Resolution based 1 0 Shares Apr. 2014 Resolution based 1 0 Shares PEACE LIVING CO.,LTD. (1437) 792,200 Exercise of Subscription Warrants 0 Jun. 2015 Resolution based 1 0 Shares Aug. 2015 Resolution based 1 0 Shares YASUE CORPORATION (1439) 1,305,380 Exercise of Subscription Warrants 4,040 Apr. 2014 Resolution based 1 240 Shares Nov. 2014 Resolution based 1 3,800 Shares YAMAZEN HOMES CO.,LTD. (1440) 1,610,000 Aug. 02 Third-Party Allotment, etc. 110,000 Chugai Mining Co.,Ltd. (1491) 289,747,982 0 Sumiseki Holdings,Inc. (1514) 58,892,853 Conversion of Preferred Stock, etc. 0 PS 1 0 Shares 7,140,000 Shares Exercise of Subscription Warrants 0 Jun. 2014 Resolution based 1 0 Shares Jun. 2015 Resolution based 1 0 Shares Jun. 2016 Resolution based 1 0 Shares Jun. 2017 Resolution based 1 0 Shares Nittetsu Mining Co.,Ltd. (1515) 8,352,319 0 MITSUI MATSUSHIMA CO.,LTD. (1518) 13,064,400 0 - 4 - Aug. 2017 No. of Listed Shares Altered Alteration Value, etc. Company Name (Code) at End of Month Reason for Alteration No. of Shares Bond Symbol, etc. Value, etc. after Alteration Remarks Shares Shares INPEX CORPORATION (1605) 1,462,323,600 0 Japan Drilling Co.,Ltd. (1606) 18,000,000 0 Japan Petroleum Exploration Co.,Ltd. (1662) 57,154,776 0 K&O Energy Group Inc. (1663) 30,336,061 0 SDS HOLDINGS Co.,Ltd. (1711) 2,702,173 Exercise of Subscription Warrants 0 Oct. 2016 Resolution based 1 0 Shares Daiseki Eco.Solution Co.,Ltd.