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Program Information UBS Group AG i PROGRAM INFORMATION Type of Information: Program Information Date of Announcement: 20 April 2023 Issuer Name: UBS Group AG Name and Title of Representative: Antonio Boné, Authorized Signatory Address of Head Office: Bahnhofstrasse 45, 8001 Zürich, Switzerland Telephone: UBS Group AG: +41 44 239 26 55 Contact Person: Takashi Tsukioka, Attorney-at-law Koki Yamamoto, Attorney-at-law Nagashima Ohno & Tsunematsu Address: JP Tower, 2-7-2 Marunouchi, Chiyoda- ku, Tokyo 100-7036 Telephone: +81 3-6889-7000 Type of Securities: Notes Scheduled Issuance Period: 21 April 2023 to 20 April 2024 Maximum Outstanding Issuance Amount: Unlimited Address of Website for Announcement: https://www.jpx.co.jp/english/equities/products/tpbm/ann ouncement/index.html Names of the Lead Managers (for the purpose of this Program Information): UBS AG London Branch Status of Submission of Issuer Filing Information: UBS Group AG has continuously submitted Issuer ...

Daily Price Limits to be Broadened : 1 issue | Japan Exchange Group Apr. 18, 2023 TSE Daily Price Limits to be Broadened : 1 issue Tweet The following issue has fallen under the following (1) or (2) for two consecutive business days. As such, TSE wishes to bring to your attention that it will broaden only the upper (or lower) daily price limit on the next business day (April 19) as follows. (1) The upper (or lower) daily price limit is reached and trading volume is 0 without conducting allocation at the upper (or lower) daily price limit (2) Trading volume remains at 0 shares until the end of the afternoon session, trades are executed at the upper (or lower) daily price limit at the close of the afternoon session with bids (or offers) remaining at the upper (or lower) daily price limit. LOCONDO,Inc. (Code: 3558) 　　Upper daily price limit: 1,...

Regulatory Measures, etc. on Trading of Newly Listed Stocks : JENOBA CO.,LTD. | Japan Exchange Group Apr. 18, 2023 TSE Regulatory Measures, etc. on Trading of Newly Listed Stocks : JENOBA CO.,LTD. Regulatory Measures, etc. on Trading of Newly Listed Stocks 　1. Issue: JENOBA CO.,LTD. (Code: 5570) 　2. Regulatory Measures (until the day an issue is first traded) 　 Trading participants are: 　 (1) required to receive purchase funds (in cash) from clients, other than those with discretionary 　　investment contracts, on the same day.* 　 (2) prohibited from making purchases in the issue on their proprietary accounts, including 　 those under discretionary investment contracts, until it is first traded. 　 (3) prohibited from placing buy market orders on the issue until after the day it is first traded. 　　*As long as a client's MRF (money reserve fund) is in excess of the purchase funds on the day 　　the issue is first traded, the MRF ...

Matching Mechanism for the First Day of Listing: Excite Holdings Co.,Ltd. | Japan Exchange Group Apr. 18, 2023 TSE Matching Mechanism for the First Day of Listing: Excite Holdings Co.,Ltd. Excite Holdings Co.,Ltd. (code: 5571) will be listed on Apr.19. The matching mechanism to be applied to Excite Holdings Co.,Ltd. until the initial price is determined is shown below. This special matching mechanism is applied to a directly-listed stock until its initial price is determined. 1. Order book center price JPY 1,340 (public offering or secondary distribution price) 2. Quote renewal (1) Initial special quote An initial special (bid or ask) quote will be indicated at the order book center price. *) If there is a matching quote within the special quote renewal price interval from the order book center price at the beginning of trading session, matching will occur instantly. (2) Upper limit Upper ...

Matching Mechanism for the Second Day of Listing: JENOBA CO.,LTD. | Japan Exchange Group Apr. 18, 2023 TSE Matching Mechanism for the Second Day of Listing: JENOBA CO.,LTD. JENOBA CO.,LTD. (code: 5570) was listed on Apr.18. However, its initial price has not been determined. The matching mechanism to be applied to JENOBA CO.,LTD. on Apr.19 (the second day of listing) is shown below. This special matching mechanism is applied to a directly-listed stock on the second day until its initial price is determined. 1. Order book center price JPY 1,081 (last special quote price) 2. Quote renewal (1) Initial special quote An initial special (bid or ask) quote will be indicated at the order book center price. *) If there is a matching quote within the special quote renewal price interval from the order book center price at the beginning of trading session, matching ...

Nineth "Council of Experts Concerning the Follow-up of Market Restructuring" ―Agenda― Tokyo Stock Exchange, Inc. 1. Date: Friday, March 31, 2023 9:00 a.m. - 11:00 a.m. 2. Place: Tokyo Stock Exchange 15F Special Conference Room 3. Agenda: i. Opening ii. Explanation by TSE iii. Exchange of opinions iv. Confirmation of next schedule, Closing ＜Handouts＞ Document 1 Agenda Document 2 Press Release/Notification for Listed Companies (Draft) Document 3 Action to Implement Management that is Conscious of Cost of Capital and Stock Price (Draft) Document 4 Disclosure of Dialogue with Shareholders (Draft) Document 5 Key Points and Examples of“Explanation" That Contribute to Constructive Dialogue (Draft) Document 6 Discussion at the Last Council on the Growth Market Document 1...

2023 Tokyo Stock Exchange, Inc. Exchange & beyond Summary of The Council’s Most Recent Discussion on the Growth Market March 31, 2023 Tokyo Stock Exchange, Inc. Document 6 ©2023 Tokyo Stock Exchange, Inc. Opinions on the Growth Market (1/3) Listing It is too early to tighten the initial listing criteria because we have just transitioned to the new market segments. However, the council should consider the future of listing especially in regard to the stimulation of TOKYO PRO Market (TPM) and the establishment of a secondary market for unlisted stocks. Tightening listing criteria would not be supportive to the regeneration of industry. Stricter criteria could encourage the participation of institutional investors that will support growth after listing. Even at this point, we should make it known that larger IPOs are preferable. 1 Promoting Growth after Listing It is possible that there are companies who ...

2023 Tokyo Stock Exchange, Inc. Exchange & beyond Better Dialogue with Shareholders and Related Disclosure March 31, 2023 Tokyo Stock Exchange, Inc. Document 2 ©2023 Tokyo Stock Exchange, Inc. Japan’s Corporate Governance Code states that companies should engage in constructive dialogue with shareholders in order to contribute to sustainable growth and the increase of corporate value over the mid- to long-term (General Principle 5). Specifically, the Code states that "taking the requests and interests of shareholders into consideration, to the extent reasonable, the senior management, directors, including outside directors, and kansayaku, should have a basic position to engage in dialogue with shareholders," and that "the board should establish, approve and disclose policies concerning the measures and organizational structures aimed at promoting constructive dialogue with shareholders" (Principle 5-1). The importance of dialogue with investors has also been reiterated at the "Council of Experts Concerning the Follow-up ...

2023 Tokyo Stock Exchange, Inc. Exchange & beyond Using "Explain" to Contribute to Constructive Dialogue March 31, 2023 Document 3 Tokyo Stock Exchange, Inc. ©2023 Tokyo Stock Exchange, Inc. 1 Purpose Specific measures mentioned in the Principles of the Corporate Governance Code are common methods (best practices) that may be used to realize the goals and ideas of the Principles. If there are Principles for which a listed company considers it would be inappropriate to comply in light of its individual circumstances, TSE allows instead a full explanation of the reasons for non-compliance (the "comply-or-explain" approach). Note: It has been suggested that in many cases, a proactive explanation is preferable to superficial compliance. (See "Responses to the Corporate Governance Code and Next Steps of the“Council of Experts Concerning the Follow-Up of Japan’s Stewardship Code and Japan’s Corporate Governance Code" (Oct. 10, 2015)") ...

2023 Tokyo Stock Exchange, Inc. Exchange & beyond Better Dialogue with Shareholders and Related Disclosure March 31, 2023 Tokyo Stock Exchange, Inc. Document 2 ©2023 Tokyo Stock Exchange, Inc. Japan’s Corporate Governance Code states that companies should engage in constructive dialogue with shareholders in order to contribute to sustainable growth and the increase of corporate value over the mid- to long-term (General Principle 5). Specifically, the Code states that "taking the requests and interests of shareholders into consideration, to the extent reasonable, the senior management, directors, including outside directors, and kansayaku, should have a basic position to engage in dialogue with shareholders," and that "the board should establish, approve and disclose policies concerning the measures and organizational structures aimed at promoting constructive dialogue with shareholders" (Principle 5-1). The importance of dialogue with investors has also been reiterated at the "Council of Experts Concerning the Follow-up ...