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Daiwa Securities Group Inc. Corporate Data Stock Information 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, 2018) 1-4-1, Marunouchi, Chiyoda-ku, Tel: (81) 3-5555-1111 Tokyo 100-8233, Japan Number of Shareholders Website 133,177 (as of March 31, 2018) 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, 2017– March 31, 2018) (Yen) (Thousand shares) 900 300,000 600 200,000 Stock price (left) 300 Trading volume (right) 100,000 0 4/17 5/17 6/17 7/17 8/17 9/17 10/17 11/17 12/17 1/18 2/18 3/18 (Month/year) 0 2. Major Shareholders (As of March 31, 2018) Number of shares held % of total Name (Thousands) outstanding shares The Master Trust Bank of Japan, Ltd. Trust Account 86,301 5.33 Japan Trustee Services Bank, Ltd. Trust Account 84,206 5.20 Barclays Capital Securities Ltd. 34,220 2.11 Japan Trustee Services Bank, Ltd. Trust Account 5 32,260 1.99 Nippon Life Insurance Company 31,164 1.92 Taiyo Life Insurance Company 31,140 1.92 STATE STREET BANK WEST CLIENT – TREATY 505234 30,213 1.86 STATE STREET BANK AND TRUST COMPANY 505223 24,236 1.49 Japan Trustee Services Bank, Ltd. Trust Account 1 23,950 1.47 Japan Trustee Services Bank, Ltd. Trust Account 2 23,865 1.47 Note: Treasury stock of 80,765,494 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, 2018) (April 1, 2017–March 31, 2018) 9.0% Average daily Japanese individuals Open High Low Close trading volume Japanese financial institutions and 24.0% 8,466 insurance companies ¥676.0 ¥810.5 ¥593.7 ¥678.7 thousand shares 29.8% Other Japanese corporations Foreign corporations and individuals 33.3% Others 3.9% 218 Daiwa Securities Group Integrated Report 2018 Officers (As of August 1, 2018) 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 Keiichi Tadaki Seiji Nakata* Directors Managing Directors Directors Tadashi Onodera Masaru Shirataki Yoshimasa Nagase Tomoyuki Murase Directors Michiaki Ogasawara Deputy Presidents Atsushi Mochizuki Hironori Oka Shiko Yanagisawa Seiji Nakata Hirotaka Takeuchi Toshihiro Matsui* (COO) Akihiko Ogino Tomonori Tsuji Toshihiro Matsui Ikuo Nishikawa Kazuo Takahashi Junichi Arihara Executive Managing Eiji Sato (CRO and CDO) Directors Kazuo Takahashi Eriko Kawai Koichi Matsushita Takayuki Sawano Koichi Matsushita Nobuyuki Iwamoto Corporate Executive Hideki Araki Keiko Tashiro Yoriyuki Kusaki Officer Mikita Komatsu Takashi Hibino Morimasa Matsuda Senior Executive Managing Directors Keiko Tashiro Mikita Komatsu (CFO) Masahisa Nakagawa (CIO) * 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 Keiko Tashiro Morimasa Matsuda Masaru Shirataki Yoshifumi Otsuka Tomoki Igura President Shinji Kawakami Hiroshi Obayashi* Hiroyuki Nomura Tomoo Fujioka Kei Sano Seiji Nakata* Mikita Komatsu * Outside Audit & Hiroshi Hara Kana Shirakawa Futoshi Sekine Masahisa Nakagawa Supervisory Board Yasushi Iwasaki Hirotaka Shirokawa Tomonori Tsuji Member Deputy Presidents Tadao Sakashima Yoshihisa Kaneko Mitsuru Fujita Eiji Sato Toshihiro Matsui* Masahiro Kobayashi Atsushi Mochizuki Tomoyuki Murase Toru Yamamoto Kazuo Takahashi* Naoto Shimomura Sungho Kang Junichi Serizawa Koichi Matsushita* Executive Managing Akihiko Ogino Toshiya Tadokoro Hidenobu Shirota Directors Junichi Arihara Hiroko Sakurai Isao Tsujioka Keisuke Natsume Senior Executive Shinsuke Niizuma Hiroki Ikeda Tsutomu Kobayashi Managing Directors Hiromi Uemura Mineo Takatsuka Yoshimasa Nagase* Yoshinori Matsumoto Tsutomu Takahashi Junichi Aizawa Masataka Tsujimoto Koichi Maruo Yuichi Akai * Representative Directors Other Information Daiwa Securities Group Integrated Report 2018 Daiwa Securities Group Integrated Report 2018 219 Domestic Group Companies (As of August 1, 2018) 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 Securities SMBC Principal Investments 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 100-6754, Japan Tel: +(81) 3-5555-3111 Tel: +(81) 3-5555-6111 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 DIR Information Systems Co., Ltd. 1-14-6 Eitai, Koto-ku, Tokyo 135-0034, Japan Daiwa Securities Media Networks Co. Ltd. Tel: +(81) 3-6365-2580 GranTokyo North Tower 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6751, Japan Daiwa SB Investments Ltd. Tel: +(81) 3-5555-1175 2-1, Kasumigaseki 3-chome, Chiyoda-ku, Tokyo 100-0013, Japan Tel: +(81) 3-6205-0200 Daiwa Office Services Co., Ltd. 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo 104-0031, Japan Daiwa Securities Business Center Co. Ltd. Tel: +(81) 3-5555-6200 3-2, Toyo 2-chome, Koto-ku, Tokyo 135-0016, Japan Tel: +(81) 3-5633-6100 Retela Crea Securities Co., Ltd. 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo 104-0031, Japan Daiwa Property Co., Ltd. Tel: +(81) 3-6385-0611 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo 104-0031, Japan Tel: +(81) 3-5555-4700 Mi-Casa Asset Management Inc. 16-12, Shinbashi 6-chome, Minato-ku, Tokyo 105-0004, Japan Daiwa Next Bank, Ltd. Tel: +(81) 3-5425-5600 GranTokyo North Tower 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6756, Japan Tel: +(81) 3-5555-6500 Daiwa Corporate Investment Co., Ltd. GranTokyo North Tower 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-6756, Japan Tel: +(81) 3-5555-6300 220 Daiwa Securities Group Integrated Report 2018 Overseas Group Companies (As of August 2018) 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 7 Straits View Marina One East Tower #16-05/06 Singapore 018936 555 California Street, Suite 3360, San Francisco, CA 94104 Tel: +(65) 6387-8888 Tel: +(1) 415-955-8100 Daiwa Securities Capital Markets Korea Co., Ltd. DCS Advisory (New York) 21 Fl. One IFC, 10 Gukjegeumyung-Ro, Yeongdeungpo-Gu, Seoul, 07326 605 Third Avenue 11th Floor New York, NY 10158 Tel: +(82) 2-787-9100 Tel: +(1) 212-904-9400 Daiwa Capital Markets Australia Limited Daiwa Capital Markets Europe Limited Level 34, Rialto North Tower, 525 Collins Street, Melbourne, Victoria 3000 London Head Office Tel: +(61) 3-9916-1300 5 King William Street, London EC4N 7AX Tel: +(44) 20-7597-8000 Daiwa Capital Markets India Private Limited Geneva Branch 10th Floor, 3 North Avenue, Maker Maxity, Bandra-Kurla Complex, 50, rue du Rhône, P.O. Box 3198, 1211 Geneva 3 Bandra East, Mumbai 400051 + Tel: +(41) 22-818-74-00 Tel: (91) 22-6622-1000 Bahrain Branch Daiwa-Cathay Capital Markets Co., Ltd. 31st Floor, East Tower, Bahrain World Trade Center, 14th Floor, 200 Keelung Road, Sec. 1, Taipei P.O. Box 30069, Manama Tel: +(886) 2-2723-9698 Tel: +(973) 1753-4452 DBP-Daiwa Capital Markets Philippines, Inc. Paris Representative Office 18th Floor, Citibank Tower, 8741 Paseo de Roxas, Salcedo Village, Makati City 17, rue de Surène 75008 Paris Tel: +(632) 737-3000 Tel: +(33) 1-56-26-22-00 Daiwa (Shanghai) Corporate Strategic Advisory Co. Ltd. Moscow Representative Office 44/F, Hang Seng Bank Tower, 1000 Lujiazui Ring Road, 11, Gogolevsky boulevard, 2nd Floor, Moscow, 119019 Pudong, Shanghai Tel: +(7) 495-641-3416 Tel: +(86) 21-6841-3292 Daiwa Corporate Advisory Limited (UK) Myanmar Securities Exchange Centre Co., Ltd. 5 King William Street, London EC4N 7DA 21-25 Sule Pagoda Road, Yangon Tel: +(44) 20-7856-0999 Tel: +(95) 1-374894 Daiwa Corporate Advisory GmbH (Germany) 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. Ltd. Beijing Representative Office Hanoi Representative Office Room 301/302, North Tower, Beijing Kerry Centre, No.
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