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Assets under management, etc.
(Rule 1201, Item (1)-7 of the Listing Regulations) |
The assets of the investment corporation that is the issuer of the investment security. |
Unlisted Stocks, Investment Amount
(Rule 1305, Item (2), Sub-Item a of the Listing Regulation, Rule 1305 Paragraph 2 of the Enforcement Rules. ) |
A total of (i) an amount of unlisted stocks, etc., stocks, etc. within five (5) years after listing, continuously held stocks, etc. within five (5) years after listing and continuously held stocks, etc. for which five (5) years have passed after listing (hereinafter referred to as "unlisted stocks, etc.-related securities") and, (ii) out of unlisted stocks, etc.-related assets, an amount corresponding to unlisted stocks, etc.-related securities., |
Specified Unlisted Stocks Investment amount
(Rule 1305, Item (2), Sub-item a of the Listing Regulation, Rule 1305 Paragraph 2 of the Enforcement Rules. ) |
The total of (i) unlisted stocks, etc. and continuously held stocks, etc. within five (5) years after listing (hereinafter referred to as the "specified unlisted stocks, etc.-related securities") and (ii) out of unlisted stocks, etc.-related assets, an amount corresponding to the specified unlisted stocks, etc.-related securities. |
Unlisted Stocks
(Rule 1201, Item (15) of the Listing Regulations) |
Unlisted stocks mean domestic stocks other than stocks listed on a domestic financial instruments exchange (excluding that issued by a company listed on the specified financial instruments exchange markets), or stocks listed or continuously traded on a foreign financial instruments exchange, etc.; |
Unlisted Stocks
(Rule 1201, Item (16) of the Listing Regulations) |
Unlisted stocks, or preferred stocks, etc., subscription warrant securities, or bonds with warrants issued by an issuer of unlisted stocks |
Unlisted Stocks, etc.-related assets
(Rule 1201, Item (17) of the Listing Regulations) |
Assets referred to in the following a. through e.
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Equity interest in investment pertaining to an agreement in which one of the parties to the agreement contributes funds to be managed by the other party for investment
primarily in unlisted stocks, etc., in which the other party manages the funds invested for investment primarily in unlisted stocks, etc., and in which the profit arising from
such management is distributed;
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Equity interest in contribution related to a limited partnership agreement for investment prescribed in Article 3 of the LPS Act (limited to those where contributors jointly invest for the purpose of acquiring and holding unlisted stocks, etc., and such contributed assets are managed for investment primarily in unlisted stocks, etc.);
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Beneficiary certificates (limited to those for which investment trust assets of an investment trust are managed for investment primarily in unlisted stocks, etc.)
- Investment securities (limited to those for which assets held by an investment corporation for the purpose of management are managed for investment primarily in
unlisted stocks, etc.);
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Rights based on foreign laws and regulations or securities issued by a foreign entity which have the nature of rights or securities referred to in the above a. through d.
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Stocks Within Five (5) Years After Listing
(Rule 1201, Item (6), Sub-item a and b of the Listing Regulations) |
Those referred to in the following a.and b.
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Among stocks acquired after becoming listed on a domestic financial instruments exchange (excluding that issued by a company listed on the specified financial instruments exchange markets), or becoming listed or continuously traded on a foreign financial instruments exchange, etc.,
domestic stocks for which five (5) years have not passed since becoming listed or continuously traded (excluding the same issue as the domestic stock referred to in the following a.);
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Preferred stocks, etc., subscription warrant securities, or corporate bonds with subscription warrants (excluding Continuously held stocks, etc. within five (5) years after listing) issued by the issuer of the stock referred to in the above a.
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Continuously Held Stocks Within Five (5) Years after listing
(Rule 1201, Item (6)-2, Sub-item a and b of the Listing Regulations) |
Those referred to in the following a. and b.
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Among stocks that have been continuously held before becoming listed on a domestic financial instruments exchange (excluding that issued by a company listed on the specified financial instruments exchange markets), or becoming listed or continuously traded on a foreign financial instruments exchange, etc., those domestic stocks for which five (5) years have not passed since becoming listed or continuously traded; and
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Preferred stocks, etc., subscription warrant securities and corporate bonds with subscription warrants issued by an issuer of the stocks referred to in the preceding a.
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Continuously Held Stocks for Which Five (5) Years Have Passed After Listing
(Rule 1201, Item (6)-3, Sub-item a and b of the Listing Regulations) |
Those referred to in the following a. and b.
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Among stocks that have been continuously held before becoming listed on a domestic financial instruments exchange (excluding that issued by a company listed on the specified financial instruments exchange markets), or becoming listed or continuously traded on a foreign financial instruments exchange, etc., those domestic stocks for which five (5) years have passed since becoming listed or continuously traded; and
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Preferred stocks, etc., subscription warrant securities and corporate bonds with subscription warrants issued by an issuer of the stocks referred to in the preceding a.
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