一　優先出資証券　法第二条第一項第七号に掲げる優先出資証券をいう。

(i)　Preferred Equity Investment Certificates:　Preferred Equity Investment Certificates as set forth in Article 2, paragraph (1), item (vii) of the Act;

二　投資証券　法第二条第一項第十一号に掲げる投資証券をいう。

(ii)　Investment Securities:　Investment Securities as set forth in Article 2, paragraph (1), item (xi) of the Act;

三　新投資口予約権証券法第二条第一項第十一号に掲げる新投資口予約権証券をいう。

(iii)　Investment Equity Subscription Rights Certificates: Investment Equity Subscription Rights Certificates as set forth in Article 2, paragraph (1), item (xi) of the Act;

四　外国投資証券　法第二条第一項第十一号に掲げる外国投資証券をいう。

(iv)　Foreign Investment Securities:　Foreign Investment Securities as set forth in Article 2, paragraph (1), item (xi) of the Act;

五　オプション　法第二条第一項第十九号に規定するオプションをいう。

(v)　Options:　Options as prescribed in Article 2, paragraph (1), item (xix) of the Act;

六　特定投資家向け売付け勧誘等　法第二条第六項に規定する特定投資家向け売付け勧誘等をいう。

(vi)　Exclusive Offer to Sell, etc. to Professional Investors:　Exclusive Offer to Sell, etc. to Professional Investors as prescribed in Article 2, paragraph (6) of the Act;

七　外国金融商品市場　法第二条第八項第三号ロに規定する外国金融商品市場をいう。

(vii)　Foreign Financial Instruments Market:　a Foreign Financial Instruments Market as prescribed in Article 2, paragraph (8), item (iii), (b) of the Act;

八　店頭売買有価証券　法第二条第八項第十号ハに規定する店頭売買有価証券をいう。

(viii)　Over-the-Counter Traded Securities:　Over-the-Counter Traded Securities as prescribed in Article 2, paragraph (8), item (x), (c) of the Act;

九　投資一任契約　法第二条第八項第十二号ロに規定する投資一任契約をいう。

(ix)　Discretionary Investment Contract:　a Discretionary Investment Contract as prescribed in Article 2, paragraph (8), item (xii), (b) of the Act;

十　特定投資家向け取得勧誘　法第四条第三項第一号に規定する特定投資家向け取得勧誘をいう。

(x)　Exclusive Solicitation of Professional Investors for Offers to Acquire:　Exclusive Solicitation of Professional Investors for Offers to Acquire as prescribed in Article 4, paragraph (3), item (i) of the Act;

十一　企業集団　法第五条第一項第二号に規定する企業集団をいう。

(xi)　Corporate Group:　a Corporate Group as prescribed Article 5, paragraph (1), item (ii) of the Act;

十二　上場株券等　法第二十四条の六第一項に規定する上場株券等をいう。

(xii)　Listed Share Certificates, etc.:　Listed Share Certificates, etc. as prescribed in Article 24-6, paragraph (1) of the Act;

十三　特定証券等情報　法第二十七条の三十三に規定する特定証券等情報をいう。

(xiii)　Specified Information on Securities, etc.:　Specified Information on Securities, etc. as prescribed in Article 27-33 of the Act;

十四　金融商品取引業者等　法第三十四条に規定する金融商品取引業者等をいう。

(xiv)　Financial Instruments Business Operators, etc.:　Financial Instruments Business Operators, etc. as prescribed in Article 34 of the Act;

十五　累積投資契約　法第三十五条第一項第七号に規定する累積投資契約をいう。

(xv)　Contract for Cumulative Investment:　a Contract for Cumulative Investment as prescribed in Article 35, paragraph (1), item (vii) of the Act;

十六　委託等　法第四十四条第一号に規定する委託等をいう。

(xvi)　to Entrust, etc.:　to Entrust, etc. as prescribed in Article 44, item (i) of the Act;

十七　会員等　法第八十一条第一項第三号に規定する会員等をいう。

(xvii)　Member, etc.:　a Member, etc. as prescribed in Article 81, paragraph (1), item (iii) of the Act;

十八　店頭売買有価証券市場　法第六十七条第二項に規定する店頭売買有価証券市場をいう。

(xviii)　Over-the-Counter Securities Market:　an Over-the-Counter Securities Market as prescribed in Article 67, paragraph (2) of the Act;

十九　取扱有価証券　法第六十七条の十八第四号に規定する取扱有価証券をいう。

(xix)　Tradable Securities:　Tradable Securities as prescribed in Article 67-18, item (iv) of the Act;

二十　上場会社等　法第百六十三条第一項に規定する上場会社等をいう。

(xx)　Listed Company, etc.:　a Listed Company, etc. as prescribed in Article 163, paragraph (1) of the Act;

二十一　上場投資法人等　法第百六十三条第一項に規定する上場投資法人等をいう。

(xxi)　Listed Investment Corporation, etc.:　a Listed Investment Corporation, etc. as prescribed in Article 163, paragraph (1) of the Act;

二十二　特定有価証券　法第百六十三条第一項に規定する特定有価証券をいう。

(xxii)　Specified Securities:　Specified Securities as prescribed in Article 163, paragraph (1) of the Act;

二十三　関連有価証券　法第百六十三条第一項に規定する関連有価証券をいう。

(xxiii)　Related Securities:　Related Securities as prescribed in Article 163, paragraph (1) of the Act;

二十四　特定有価証券等　法第百六十三条第一項に規定する特定有価証券等をいう。

(xxiv)　Specified Securities, etc.:　Specified Securities, etc. as prescribed in Article 163, paragraph (1) of the Act; and

二十五　特定組合等　法第百六十五条の二第一項に規定する特定組合等をいう。

(xxv)　Specified Partnerships, etc.:　Specified Partnerships, etc. as prescribed in Article 165-2, paragraph (1) of the Act.

一　安定操作取引　金融商品取引法施行令（以下「令」という。）第二十条第一項に規定する安定操作取引をいう。

(i)　Stabilizing Transaction:　a Stabilizing Transaction as prescribed in Article 20, paragraph (1) the Order for Enforcement of the Financial Instruments and Exchange Act (hereinafter referred to as "the Order");

二　空売り　令第二十六条の二の二第一項に規定する空売りをいう。

(ii)　Short Selling:　Short Selling as prescribed in Article 26-2-2, paragraph (1) of the Order;

三　信用取引　金融商品取引法第百六十一条の二に規定する取引及びその保証金に関する内閣府令（昭和二十八年大蔵省令第七十五号。次号において「保証金府令」という。）第一条第一項に規定する信用取引をいう。

(iii)　Margin Transaction:　a Margin Transaction as prescribed in Article 1, paragraph (1) of the Cabinet Office Order on Security Deposits and Transactions, Provided in Article 161-2 of the Financial Instruments and Exchange Act (Ministry of Finance Order No. 75 of 1953; referred to as the "Cabinet Office Order on Security Deposits" in the following item);

四　発行日取引　保証金府令第一条第二項に規定する発行日取引をいう。

(iv)　When-Issued Transaction:　a When-Issued Transaction as prescribed in Article 1, paragraph (2) of the Cabinet Office Order on Security Deposits;

四の二　有価証券信託受益証券　令第二条の三第三号に規定する有価証券信託受益証券をいう。

(iv)-2　Beneficiary Certificates of Securities in Trust:　Beneficiary Certificates of Securities in Trust as prescribed in Article 2-3, item (iii) of the Order;

四の三　受託有価証券　令第二条の三第三号に規定する受託有価証券をいう。

(iv)-3　Entrusted Securities:　Entrusted Securities as prescribed in Article 2-3, item (iii) of the Order;

五　マーケットメイカー　金融商品取引所の定める規則により当該金融商品取引所の開設する取引所金融商品市場において特定の銘柄の有価証券につき恒常的に売付け及び買付けの気配を出す会員等をいう。

(v)　Market Maker:　a Member, etc. that quotes bids and offers for Securities of a specific issue on a regular and continuous basis in a Financial Instruments Exchange Market established by a Financial Instruments Exchange, pursuant to the rules specified by the Financial Instruments Exchange;

六　店頭マーケットメイカー　認可金融商品取引業協会の定める規則により当該認可金融商品取引業協会の開設する店頭売買有価証券市場において特定の銘柄の店頭売買有価証券につき恒常的に売付け及び買付けの気配を出す当該認可金融商品取引業協会の会員をいう。

(vi)　Over-the-Counter Market Maker:　the Member of an Authorized Financial Instruments Firms Association that quotes bids and offers for Over-the-Counter Traded Securities of a specific issue on a regular and continuous basis in an Over-the-Counter Securities Market established by the Authorized Financial Instruments Firms Association, pursuant to the rules specified by the Authorized Financial Instruments Firms Association;

七　取得請求権付株券　会社法（平成十七年法律第八十六号）第二条第十八号に規定する取得請求権付株式に係る株券をいう。

(vii)　Share Certificates with Put Options:　share certificates for shares with put options as prescribed in Article 2, item (xviii) of the Companies Act (Act No. 86 of 2005);

八　取得条項付株券　会社法第二条第十九号に規定する取得条項付株式に係る株券をいう。

(viii)　Share Certificates Subject to Call:　share certificates for shares subject to call as prescribed in Article 2, item (xix) of the Companies Act;

九　売方関連有価証券　特定有価証券の売買に係るオプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券の売買において売主としての地位を取得するものに限る。）を表示する関連有価証券（令第二十七条の四第三号に掲げる関連有価証券に限る。）をいう。

(ix)　Seller-Related Securities:　Related Securities (but only the Related Securities set forth in Article 27-4, item (iii) of the Order) indicating an Option for a purchase and sale of Specified Securities (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Specified Securities);

十　売方関連株券等　特定株券等（法第百六十七条第一項に規定する特定株券等をいう。以下この号において同じ。）の売買に係るオプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定株券等の売買において売主としての地位を取得するものに限る。）を表示する令第三十三条の二第三号に掲げる関連株券等をいう。

(x)　Seller-Related Share Certificates, etc.:　Related Share Certificates, etc. as set forth in Article 33-2, item (iii) of the Order that indicate an Option for the purchase and sale of Specified Share Certificates, etc. (meaning Specified Share Certificates, etc. as prescribed in Article 167, paragraph (1) of the Act; hereinafter the same applies in this item) (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Specified Share Certificates, etc.);

十一　協同組織金融機関　協同組織金融機関の優先出資に関する法律（平成五年法律第四十四号。以下「優先出資法」という。）第二条第一項に規定する協同組織金融機関をいう。

(xi)　Cooperative Structured Financial Institution:　a Cooperative Structured Financial Institution as prescribed in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993; hereinafter referred to as the "Act on Preferred Equity Investment");

十二　純資産額　総資産の帳簿価額から負債の帳簿価額の合計額を控除して得た額（当該額が零未満である場合にあっては、零）をいう。

(xii)　Amount of Net Assets:　the amount arrived at when the total amount of book value of the debt is deducted from the amount of book value of the total assets (or zero, if the amount so calculated is less than zero); and

十三　固定資産　法人税法（昭和四十年法律第三十四号）第二条第二十二号に掲げる固定資産をいう。

(xiii)　Fixed Assets:　Fixed Assets set forth in Article 2, item (xxii) of the Corporation Tax Act (Act No. 34 of 1965).

一　当該安定操作取引を行った金融商品取引業者の商号及び本店（外国法人である金融商品取引業者にあっては、国内における主たる営業所又は事務所。次号、第七条第一項及び第八条第一項において同じ。）の所在地

(i)　the trade name and the locality of the head office of the Financial Instruments Business Operator that effected the stabilization transaction (or its principal business office or office in Japan, if the Financial Instruments Business Operator is a foreign corporation; the same applies in the following item, Article 7, paragraph (1), and Article 8, paragraph (1));

二　当該安定操作取引を行った金融商品取引業者と共同して安定操作取引を行う金融商品取引業者がある場合には、その商号及び本店の所在地

(ii)　the trade name and the locality of the head office of any Financial Instruments Business Operator effecting stabilizing transactions jointly with the Financial Instruments Business Operator that has effected the stabilizing transaction in question;

三　当該安定操作取引を開始した日時

(iii)　the date and time of the commencement of the stabilizing transaction;

四　当該安定操作取引に係る有価証券が金融商品取引所に上場されている有価証券（以下この条及び次条において「上場有価証券」という。）であるか店頭売買有価証券であるかの別及びその銘柄

(iv)　whether the Securities subject to the stabilizing transaction are Securities listed on a Financial Instruments Exchange (hereinafter referred to as "Listed Securities" in this Article and the following Article) or Over-the-Counter Traded Securities and the issue name thereof;

五　当該安定操作取引の成立価格

(v)　the concluded price of the stabilizing transaction;

六　当該安定操作取引に係る有価証券が上場有価証券であるときは、次に掲げる事項

(vi)　the following particulars, if the Securities subject to the stabilizing transaction are Listed Securities:

七　当該安定操作取引に係る有価証券が店頭売買有価証券であるときは、次に掲げる事項

(vii)　the following particulars, if the Securities subject to the stabilizing transaction are Over-the-Counter Traded Securities:

八　当該安定操作取引によりその募集若しくは特定投資家向け取得勧誘又は売出し若しくは特定投資家向け売付け勧誘等を容易にしようとする有価証券の銘柄、発行価格又は売出価格（新株予約権付社債券にあっては発行価格及び新株予約権の内容又は売出価格）及び発行価額又は売出価額の総額

(viii)　the issue name, issue price, or distribution price of the Securities whose Public Offering, Exclusive Solicitation of Professional Investors for Offers to Acquire, or Secondary Distribution or Solicitation for Selling Only for Professional Investors the person sought to facilitate through a stabilizing transaction (or the issue price and features or the distribution price of the share options, in the case of corporate bond certificates with share options) as well as the total issue value or total distribution value thereof;

九　当該安定操作取引に係る有価証券について安定操作取引を行うことができる期間

(ix)　the period during which a stabilizing transaction may be conducted for the Securities subject to the stabilizing transaction; and

十　その他参考となるべき事項

(x)　any other information of reference.

一　法第二条第二十一項第一号に掲げる取引

(i)　the transactions set forth in Article 2, paragraph (21), item (i) of the Act;

二　発行日取引

(ii)　a When-Issued Transaction;

三　次に掲げる有価証券につき空売りを行う取引

(iii)　a transaction in which the person in question conducts Short Selling for the following Securities:

四　金融商品取引所の会員等が当該金融商品取引所に上場されている有価証券（外国投資証券及び法第二条第一項第十七号に掲げる有価証券のうち株券の性質を有するもの（以下この号において「外国投資証券等」と総称する。）並びに有価証券信託受益証券で外国投資証券等を受託有価証券とするもの及び同項第二十号に掲げる有価証券で外国投資証券等に係る権利を表示するものに限る。）につき自己の計算による空売りを行う取引であって、当該取引に関し、外国金融商品市場において当該会員等が当該空売りに係る有価証券の買付け（当該空売りに係る有価証券が有価証券信託受益証券である場合には、当該有価証券信託受益証券に係る受託有価証券と同一の銘柄の有価証券で当該会員等が既に保有しているもの又は外国金融商品市場において買付けを行うものを信託して当該有価証券信託受益証券を取得することを含み、当該空売りに係る有価証券が同号に掲げる有価証券（以下この号において「預託証券」という。）である場合には、当該預託証券に表示される権利に係る有価証券と同一の銘柄の有価証券で当該会員等が既に保有しているもの又は外国金融商品市場において買付けを行うものを預託して当該預託証券を取得することを含む。）を行う取引を伴うもの（次に掲げるものに限る。）

(iv)　a transaction in which a Member, etc. of a Financial Instruments Exchange conducts, on its own account, Short Selling of Securities listed on that Financial Instruments Exchange (but only for the Foreign Investment Securities or Securities as set forth in Article 2, paragraph (1), item (xvii) of the Act that have the nature of share certificates (hereinafter collectively referred to as "Foreign Investment Securities, etc." in this item), Beneficiary Certificates of Securities in a Trust wherein the Entrusted Securities are Foreign Investment Securities, etc., or Securities as set forth in item (xx) of that paragraph that indicate rights associated with Foreign Investment Securities, etc.) that is accompanied by a related transaction in which the Member, etc. conducts a purchase of Securities that are subject to the Short Selling by the Member, etc. in a Foreign Financial Instruments Market (or, if the Securities subject to the Short Selling are Beneficiary Securities of Securities in Trust, a related transaction in which the Member, etc. acquires those Beneficiary Securities of Securities in Trust by placing in trust Securities that it already holds or will purchase in a Foreign Financial Instruments Market which are of the same issue as the Entrusted Securities to which the Beneficiary Securities of Securities in Trust that are subject to the Short Selling pertain; or, if the Securities subject to the Short Selling are the Securities as set forth in Article 2, paragraph (1), item (xx) of the Act (hereinafter referred to as "Depository Receipts" in this item), a related transaction in which the Member, etc. acquires those Depository Receipts by placing on deposit Securities that it already holds or will purchase in a Foreign Financial Instruments Market which are of the same issue as the Securities to which the rights indicated on the Depository Receipts that are subject to the Short Selling pertain) (but only the transactions set forth in the following items):

五　マーケットメイカーが、売付けの気配を出す取引所金融商品市場において当該売付けに係る気配に基づき自己の計算による空売りを行う取引

(v)　a transaction in which a Market Maker conducts Short Selling on its own account in the Financial Instruments Exchange Market on which it quotes sale prices, based on the sale quotes;

六　買い付けた有価証券（取引所金融商品市場においてする空売りの委託又は委託の取次ぎの申込みをする者と通じて当該空売りの受託又は委託の取次ぎの引受けに代えて買い付けた当該空売りに係るものを除く。）であってその決済を結了していない有価証券の売付けを行う取引のうち、当該買い付けた有価証券により当該売付けの決済を行う取引

(vi)　a transaction in which a person sells Securities purchased thereby (other than Securities associated with Short Selling that the person in question has purchased through a person offering to entrust the person in question with Short Selling on a Financial Instruments Exchange Market or to have the person in question broker another person's entrustment with the same, in lieu of undertaking to broker another person's entrustment with Short Selling) whose settlement has yet to be completed, and settles that sale with the Securities purchased thereby;

七　貸し付けている有価証券（借り入れたものを除く。）の売付けであって、その決済前に当該有価証券の返還を受けることが明らかな場合における当該有価証券の売付けを行う取引

(vii)　a sale of Securities (excluding those that the person in question has borrowed) that are on loan to another person, in a transaction to sell those Securities in a situation in which it is clear that they will be returned prior to the settlement of the sale;

八　取引所金融商品市場における売買のうち、当該取引所金融商品市場を開設する金融商品取引所の業務規程で定める売買立会（午前立会又は午後立会のみの売買立会を含む。以下この章及び次章において同じ。）によらない売買による空売りを行う取引

(viii)　a transaction in which the relevant person conducts Short Selling through purchase and sales on a Financial Instruments Exchange Market that are conducted outside of the trading session (inclusive of a trading session that is only a morning session or an afternoon session; hereinafter the same applies in this Chapter and the following Chapter) specified in the operational rules of the Financial Instruments Exchange that operates the Financial Instruments Exchange Market;

九　次に掲げる有価証券に付与された株券又は投資証券（以下この号において「株券等」という。）を取得する権利を行使しており、当該権利が行使された結果取得することとなる株券等の数量の範囲内で当該株券等と同一の銘柄の株券等の売付けを行う取引

(ix)　a transaction to sell share certificates or Investment Securities (hereinafter referred to as "Share Certificates, etc." in this item) of the same issue as, and within the scope of the volume of, the Share Certificates, etc. that the relevant person, having exercised a right to acquire Share Certificates, etc. that is attached to one of the following Securities, will come to acquire as a result of that right having been exercised:

十　有価証券の発行者が取得条項付株券に付与された権利を行使した場合に、当該権利が行使された結果取得することとなる株券の数量の範囲内で当該株券と同一の銘柄の株券の売付けを行う取引

(x)　a transaction to sell share certificates of the same issue as, and within the scope of the volume of, the share certificates that the Issuer of Securities will come to acquire as a result of the rights attached to Share Certificates subject to Call having been exercised, if the Issuer of Securities has exercised that right;

十一　社債券（法第二条第一項第十七号に掲げる有価証券のうち社債券の性質を有するものを含み、新株予約権付社債券（同号に掲げる有価証券のうち新株予約権付社債券の性質を有するものを含む。）を除く。）であって、当該社債券の発行者以外の者が発行した株券等（株券又は次号イに掲げる有価証券をいう。以下この号において同じ。）により償還することができる旨の特約が付されているものについて、当該社債券が当該株券等により償還されることが決定した場合に、償還を受けることとなる当該株券等の数量の範囲内で当該株券等と同一の銘柄の株券等の売付けを行う取引

(xi)　a transaction in which the relevant person sells Share Certificates, etc. of the same issue as, and within the scope of the volume of, the Share Certificates, etc. that the person will receive in redeeming corporate bond certificates (inclusive of the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of corporate bond certificates, but not corporate bond certificates with share options (inclusive of the Securities set forth in that item which have the nature of corporate bond certificates with share options)) that carry a special provision indicating that they may be redeemed using Share Certificates, etc. (meaning share certificates or Securities as set forth in (a) of the following item; hereinafter the same applies in this item) that a person other than the Issuer of those corporate bond certificates has issued, if it has been decided that those corporate bond certificates will be redeemed using such Share Certificates, etc.;

十二　有価証券の発行者が株式分割、優先出資証券に係る優先出資（優先出資法に規定する優先出資をいう。以下同じ。）の分割、次に掲げる有価証券（以下この章において「投資信託受益証券等」という。）に係る受益権の分割（外国におけるこれに相当するものを含む。）及び投資口（投資信託及び投資法人に関する法律（昭和二十六年法律第百九十八号）第二条第十四項に規定する投資口をいう。以下同じ。）の分割（以下この号において「株式分割等」という。）、株式無償割当て（会社法第百八十五条に規定する株式無償割当てをいう。以下同じ。）、合併、会社分割、株式交換又は株式移転を行う場合において、当該株式分割等、株式無償割当て、合併、会社分割、株式交換又は株式移転により割り当てられた株式、優先出資、投資信託受益証券等に係る受益権（外国におけるこれに相当するものを含む。）及び投資口（以下この号において「株式等」という。）の数量の範囲内で当該株式等と同一の銘柄の有価証券の売付けを行う取引

(xii)　a transaction in which the relevant person sells Securities of the same issue as, and within the scope of the volume of, the shares, Preferred Equity Investment (meaning Preferred Equity Investment as prescribed in the Act on Preferred Equity Investment; the same applies hereinafter), beneficial interest associated with the following Securities (hereinafter referred to as "Beneficiary Securities of an Investment Trust, etc." in this Chapter) (inclusive of anything equivalent to this in a foreign state), or investment equities (meaning investment equities as prescribed in Article 2, paragraph (14) of the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951); the same applies hereinafter) (hereinafter referred to in this item as "Shares, etc.") that the person has been allotted due to a share split, split of Preferred Equity Investment associated with Preferred Equity Investment Certificates, split of beneficial interests associated with Beneficiary Securities of an Investment Trust, etc., or split of investment equities (hereinafter referred to as a "Share Split, etc." in this item), or due to an Allotment of Shares without Contribution (meaning Allotment of Shares without Contribution as prescribed in Article 185 of the Companies Act; the same applies hereinafter), merger, company split, share exchange, or share transfer, if the Issuer of the Securities carries out that Share Split, etc., Allotment of Shares without Contribution, merger, company split, share exchange, or share transfer:

十三　有価証券の募集若しくは売出し又は特定投資家向け取得勧誘若しくは特定投資家向け売付け勧誘等に応じており、当該募集若しくは売出し又は特定投資家向け取得勧誘若しくは特定投資家向け売付け勧誘等の結果取得することとなる有価証券の数量の範囲内で当該有価証券と同一の銘柄の有価証券の売付けを行う取引

(xiii)　a transaction in which a person responding to a Public Offering, Secondary Distribution, Exclusive Solicitation of Professional Investors for Offers to Acquire, or Exclusive Offer to Sell, etc. to Professional Investors, sells Securities of the same issue as, and within the scope of the volume of, the Securities that the person will acquire a result of that Public Offering, Secondary Distribution, Exclusive Solicitation of Professional Investors for Offers to Acquire, or Exclusive Offer to Sell, etc. to Professional Investors;

十四　発行日取引により買付けを行った有価証券の受渡しの前において、当該有価証券の数量の範囲内で当該有価証券と同一の銘柄の有価証券の売付けを行う取引

(xiv)　a transaction in which a person sells Securities of the same issue as, and within the scope of the volume of, the Securities that the person has purchased through a When-Issued Transaction, prior to the transfer of those Securities;

十五　空売り（令第二十六条の二の二第一項第二号に該当するものに限る。次項第五号及び第三項第四号において同じ。）を行う取引であって、次に掲げる理由により行う取引

(xv)　a transaction in which the relevant person carries out Short Selling (but only Short Selling that falls under Article 26-2-2, paragraph (1), item (ii) of the Order; the same applies in item (v) of the following paragraph and paragraph (3), item (iv)) for any of the following reasons:

十六　投資信託受益証券等に係る次に掲げる取引

(xvi)　the following transactions related to Beneficiary Securities of an Investment Trust, etc.:

十七　金融商品取引所の会員等が当該金融商品取引所に上場されている投資信託受益証券等若しくは投資証券につき自己の計算による空売りを行う取引又は金融商品取引所の定める規則により当該金融商品取引所に上場されている投資信託受益証券等につき次に掲げる取引に係る注文を行う者として指定を受けた高速取引行為者が当該投資信託受益証券等につき当該金融商品取引所の定める方法に基づいて自己の計算による空売りを行う取引のうち、次に掲げるもの

(xvii)　a transaction as follows, in which a Member, etc. of a Financial Instruments Exchange conducts Short Selling on its own account for the Beneficiary Securities of an Investment Trust, etc. or Investment Securities listed on that Financial Instruments Exchange, or in which a High-Speed Trader that has been designated as a person placing orders for the following transactions involving the Beneficiary Securities of an Investment Trust, etc. that are listed on a Financial Instruments Exchange pursuant to the rules specified by that Financial Instruments Exchange, conducts Short Selling on its own account for those Beneficiary Securities of an Investment Trust, etc. based on the method specified by the Financial Instruments Exchange:

十八　信用取引

(xviii)　a Margin Transaction;

十九　金融商品取引所の会員等が次に掲げる価格で顧客と取引所金融商品市場外又は金融商品取引所の業務規程に定める売買立会によらない売買により当該顧客の有している有価証券（借り入れているもの及び令第二十六条の二に規定する場合に該当する場合における同条の有価証券を除く。）の買付けを行うことを約している場合に、当該買付けの数量の範囲内で当該有価証券と同一の銘柄の有価証券を当該会員等が自己の計算により空売りを行う取引（あらかじめ設定されたプログラムに従い売付けの注文が行われることとなっており、かつ、特別の勘定で管理されている場合に限り、第三号に掲げる取引を除く。）

(xix)　a transaction in which a Member, etc. of a Financial Instruments Exchange, having promised its customer that it will purchase Securities held by that customer (but not those that the customer has borrowed and not the Securities as prescribed in Article 26-2 of the Order in a case constituting one as prescribed in that Article) at one of the following prices through a purchase and sale conducted outside a Financial Instruments Exchange Market or a trading session specified in the operational rules of a Financial Instruments Exchange, conducts, on its own account, a Short Selling transaction of Securities of the same issue as the Securities in question, within the scope of the volume of the Purchase in question (transactions as set forth in item (iii) are excluded, but only if sell orders will be executed in accordance with the program set in advance and the transaction is managed under a special account):

二十　次に掲げる有価証券の売買価格と当該有価証券に付与された権利を行使することにより取得することとなる株券又は投資証券（以下この号及び次号において「株券等」という。）の売買価格の関係を利用して行う取引であって、当該有価証券の買付けを新規に行うとともに、当該株券等の数量の範囲内で当該株券等と同一の銘柄の株券等の売付けを行う取引

(xx)　a transaction that a person carries out using the relationship between the trading price of the following Securities and the trading price of the share certificates or Investment Securities (hereinafter referred to as "Share Certificates, etc." in this item and the following item) that the person will come to acquire by exercising the rights attached to those Securities, in which the person newly purchases those Securities as well as selling Share Certificates, etc. of the same issue as and within the scope of the volume of the relevant Share Certificates, etc.:

二十一　次に掲げる有価証券の買付け（当該有価証券の発行者により当該有価証券を取得する権利を付与された場合を含む。）の残高に係る価格の変動により発生し得る危険を減少させるため、当該有価証券に付与された権利を行使することにより取得することとなる株券等の数量の範囲内で当該株券等と同一の銘柄の株券等の売付けを行う取引

(xxi)　a transaction in which a person sells Share Certificates, etc. of the same issue as, and within the scope of the volume of, the Share Certificates, etc. that the person will come to acquire by exercising rights attached to the following Securities, in order to reduce the risk that could arise due to the fluctuation of prices associated with the outstanding balance from a purchase of those Securities (this includes a case in which the right to acquire the Securities has been granted by the Issuer of the Securities):

二十二　有価証券に係る法第二条第二十一項第一号に掲げる取引（以下この号において「有価証券先物取引」という。）又は有価証券に係る同項第二号に掲げる取引（これに類似する外国市場デリバティブ取引を含む。以下この条において「有価証券指標先物取引」という。）に係る約定価額又は約定数値（同項第二号に規定する約定数値をいう。以下同じ。）の水準と有価証券指数等（有価証券先物取引に係る有価証券の価額の合計額又は有価証券指数（有価証券の価格に基づき算出される指数をいう。以下この条において同じ。）をいう。以下この条において同じ。）の水準の関係を利用して行う次に掲げる取引（これに準ずる取引で有価証券指数に係る同項第三号に掲げる取引を利用して行うものを含み、第三号に掲げる取引を除く。）

(xxii)　a transaction as follows which is to be conducted using the relationship between the level of the agreed value or Agreed Figure (meaning an Agreed Figure as prescribed in Article 2, paragraph (21), item (ii) of the Act; the same applies hereinafter) for a transaction as set forth in Article 2, paragraph (21), item (i) of the Act that involves Securities (hereinafter referred to as a "futures contract involving securities" in this item) or for a transaction as set forth in Article 2, paragraph (21), item (ii) of the Act that involves Securities (or a foreign market derivatives transaction similar thereto; hereinafter referred to as a "futures contract involving a securities index" in this Article) and the level of the Securities Index, etc. (meaning the total value of the Securities or Securities Indices (meaning the indices calculated based on the prices of Securities; hereinafter the same applies in this Article) that the futures contract involving securities involves; hereinafter the same applies in this Article) (or any equivalent transaction conducted by using a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that involves a Securities Index, etc.; but not a transaction as set forth in item (iii) of this paragraph):

二十三　買方有価証券指標先物取引等の取引契約残高（これと対当する売方有価証券指標先物取引等の取引契約残高並びに当該買方有価証券指標先物取引等と同一の買方有価証券指標先物取引等に係る前号イ及びロの取引の額を控除した取引契約残高に限る。）に係る価格の変動により発生し得る危険を減少させるため、当該取引契約残高の範囲内で銘柄の異なる複数の有価証券（当該有価証券の価額の合計額の変動が当該買方有価証券指標先物取引等に係る有価証券指数等の変動に近似するように選定したものに限る。）の売付けを行う取引（これに準ずる取引で有価証券指数に係る法第二条第二十一項第三号に掲げる取引に伴い行うものを含み、第三号に掲げる取引を除く。）

(xxiii)　a transaction in which the relevant person sells multiple Securities of different issues (but only Securities selected so that the fluctuations in the total value of the Securities approximate the fluctuations of the Securities Index, etc. related to the relevant long-futures contract involving a securities index, etc.) within the scope of the transaction contract balance of a long-futures contract involving a securities index, etc. (but only the transaction contract balance remaining after the deduction of the transaction contract balance of the short-futures contract involving a securities index, etc., corresponding to the long-futures contract involving a securities index, etc. and the amount of the transactions set forth in (a) and (b) of the preceding item associated with the long-futures contract involving a securities index, etc.) which is to be conducted in order to reduce the risk that could arise due to the fluctuation of prices related to the transaction contract balance of the long-futures contract involving a securities index, etc. (or transactions equivalent thereto that the person conducts in connection with the transactions set forth in Article 2, paragraph (21), item (iii) of the Act associated with a Securities Index; but not the transactions set forth in item (iii));

二十四　有価証券に係る法第二条第二十一項第三号に掲げる取引（以下この条において「有価証券オプション取引」という。）に係る権利行使価格（当事者の一方の意思表示により成立する取引に係る価格をいう。）及び対価の額と有価証券の売買価格の関係を利用して行う取引であって、有価証券オプション取引を新規に行うことにより有価証券を買い付ける権利を取得し、又は売り付ける権利を付与するとともに、当該権利を行使し、又は行使された場合に取得することとなる当該有価証券の数量の範囲内で当該有価証券と同一の銘柄の有価証券の売付けを行う取引（第三号に掲げる取引を除く。）

(xxiv)　a transaction that will be conducted using the relationship between the Exercise Price (meaning the price for the transaction which is established by a unilateral manifestation of intention by one of the parties) and the amount receivable for a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act involving a Security (hereinafter referred to as a "Security Option Contract" in this Article) and the trading price of Securities, in which a person both acquires the right to purchase Securities by forming a new Security Option Contract and sells Securities of the same issue as, and within the scope of the volume of, the Securities that the person will come to acquire if the person exercises that right, or in which a person both grants another person the right to sell Securities by forming a new Security Option Contract and sells Securities of the same issue as, and within the scope of the volume of, the Securities that the person will come to acquire if that right is exercised (but not a transaction as set forth in item (iii));

二十五　有価証券オプション取引により有価証券を買い付ける権利を取得し、又は売り付ける権利を付与している場合において、当該有価証券オプション取引に係る対価の額の変動により発生し得る危険を減少させるため当該権利を行使し、又は行使された場合に買い付けることとなる当該有価証券の数量（有価証券オプション取引により当該有価証券を売り付ける権利を取得し、又は買い付ける権利を付与している場合に当該権利を行使し、又は行使されることにより売り付けることとなる有価証券の数量及び当該有価証券と同一の銘柄に係る前号に掲げる取引の数量を控除した数量に限る。）の範囲内で当該有価証券と同一の銘柄の有価証券の売付けを行う取引（第三号に掲げる取引を除く。）

(xxv)　a transaction in which the relevant person, having acquired a right to purchase Securities based on a Security Option Contract, sells Securities of the same issue as, and within the scope of the volume of, the Securities that the person will come to purchase if that person exercises that right, in order to reduce the potential risk arising from fluctuations in the amount receivable associated with the Security Option Contract (but not a transaction as set forth in item (iii)) or a transaction in which the relevant person, having granted another person the right to sell Securities through a Security Option Contract, sells Securities of the same issue as, and within the scope of the volume of, the Securities that the person will come to purchase if that right is exercised, in order to reduce the potential risk arising from fluctuations in the amount receivable associated with that Security Option Contract (but not a transaction as set forth in item (iii)) (if the person has acquired the right to sell those Securities based on a Security Option Contract, the volume in question is limited to what remains after the volume of the Securities that the person will come to sell if that person exercises that right and the volume of the transaction as set forth in the preceding item involving Securities of the same issue as the relevant Securities are deducted; and if the person has granted another person the right to purchase those Securities based on a Security Option Contract, the volume in question is limited to what remains after the volume of the Securities that the person will come to sell if that right is exercised and the volume of the transaction as set forth in the preceding item involving Securities of the same issue as the relevant Securities are deducted);

二十六　投資信託受益証券等の約定価額の水準と当該投資信託受益証券等と同一の金利、通貨の価格、金融商品市場における相場その他の指標（以下この条において「指標」という。）に基づき運用することとされた他の投資信託受益証券等の約定価額の水準の関係を利用して行う取引であって、当該投資信託受益証券等の買付けを新規に行うとともに、その買付価額の範囲内で当該他の投資信託受益証券等の売付けを行う取引

(xxvi)　a transaction to be conducted using the relationship between the level of the agreed value of Beneficiary Securities of an Investment Trust, etc. and the level of the agreed value of other Beneficiary Securities of an Investment Trust, etc. to be invested based on the same money rate, value of currency, quotation on a Financial Instruments Exchange Market, or any other indicator (hereinafter collectively referred to as the "Indicator" in this Article) as the Beneficiary Securities of an Investment Trust, etc., in which the person in question both makes a new purchase of the Beneficiary Securities of an Investment Trust, etc., and also sells the other Beneficiary Securities of an Investment Trust, etc. within the scope of the purchase value thereof;

二十七　投資信託受益証券等の約定価額の水準と指標の水準の関係を利用して行う取引であって、当該投資信託受益証券等の買付けを新規に行うとともに、その買付価額の範囲内で指標連動有価証券（その価額の合計額の変動が当該投資信託受益証券等に係る指標の変動に近似するように選定した有価証券をいう。以下この号から第三十二号までにおいて同じ。）の売付け（当該指標連動有価証券が銘柄の異なる複数の有価証券である場合は、当該銘柄の異なる複数の有価証券の売付けに限る。次号、第三十一号及び第三十二号において同じ。）を行う取引（第三号に掲げる取引を除く。）

(xxvii)　a transaction to be conducted using the relationship between the level of the agreed value and the level of the Indicator of Beneficiary Securities of an Investment Trust, etc. in which the person in question makes a new purchase of the Beneficiary Securities of an Investment Trust, etc. and also sells indicator-linked securities (meaning Securities selected so that the fluctuations in the total value of the Securities approximate the fluctuations of the Indicator associated with the Beneficiary Securities of an Investment Trust, etc.; hereinafter the same applies in this item through item (xxxii)) within scope of the purchase value (but only the sales of the multiple Securities of different issues, if the indicator-linked securities are multiple Securities of different issues; the same applies in the following item and item (xxxi) and item (xxxii)) (other than the transactions set forth in item (iii));

二十八　投資信託受益証券等の買付残高に係る価格の変動により発生し得る危険を減少させるため、その買付価額の範囲内で指標連動有価証券の売付けを行う取引（第三号に掲げる取引を除く。）

(xxviii)　a transaction in which the relevant person sells indicator-linked securities within the scope of the purchase value thereof in order to reduce the potential risk arising from fluctuations in the price of the purchase balance of Beneficiary Securities of an Investment Trust, etc. (other than a transaction set forth in item (iii));

二十九　有価証券指標先物取引に係る約定数値の水準又は指標の水準と投資信託受益証券等の約定価額の水準の関係を利用して行う次に掲げる取引

(xxix)　a transaction as follows, conducted using the relationship between the level of the Agreed Figure or level of the Indicator associated with the futures contract involving a securities index and the level of the agreed value of Beneficiary Securities of an Investment Trust, etc.:

三十　買方有価証券指標先物取引の取引契約残高（これと対当する売方有価証券指標先物取引の取引契約残高並びに当該買方有価証券指標先物取引と同一の買方有価証券指標先物取引に係る第二十二号イ及びロの取引の額を控除した取引契約残高に限る。）又は指標連動有価証券の買付残高に係る価格の変動により発生し得る危険を減少させるため、その取引契約残高又は買付価額の合計額の範囲内で投資信託受益証券等の売付けを行う取引

(xxx)　a transaction in which the person in question sells Beneficiary Securities of an Investment Trust, etc. within the scope of the transaction contract balance of a long-futures contract involving a securities index (but only the transaction contract balance remaining after the deduction of the transaction contract balance of short-futures contract involving a securities index corresponding thereto and the amount of the transactions set forth in item (xxii), (a) and (b) associated with the same long-futures contract involving a securities index as the long-futures contract involving a securities index in question) or the total amount of purchase value of the indicator-linked securities which are conducted in order to reduce any potential risks arising from fluctuations of prices associated with the transaction contract balance of the long-futures contract involving a securities index or the purchase balance of the indicator-linked securities;

三十一　投資信託受益証券等の価格の水準と指標の水準の関係を利用して行う取引であって、投資信託受益証券等に係る法第二条第二十一項第三号に掲げる取引（次号において「投資信託受益証券等オプション取引」という。）を新規に行うことにより投資信託受益証券等を買い付ける権利を取得し、又は売り付ける権利を付与するとともに、当該権利を行使し、又は行使された場合に取得することとなる投資信託受益証券等の価額（当該投資信託受益証券等と同一の銘柄に係る第二十四号に掲げる取引の額を控除した価額に限る。）の範囲内で指標連動有価証券の売付けを行う取引（第三号に掲げる取引を除く。）

(xxxi)　a transaction that will be conducted using the relationship between the price level and the indicator level for Beneficiary Securities of an Investment Trust, etc., in which a person both acquires the right to purchase Beneficiary Securities of an Investment Trust, etc. by forming a new transaction as set forth in Article 2, paragraph (21), item (iii) of the Act in connection with the Beneficiary Securities of an Investment Trust, etc. (referred to as "Option Contract for Beneficiary Securities of an Investment Trust, etc." in the following item) and sells indicator-linked securities within the scope of the amount of Beneficiary Securities of an Investment Trust, etc. that the person will acquire if the person exercises that right (other than a transaction as set forth in item (iii) or in which a person both grants another person the right to sell Beneficiary Securities of an Investment Trust, etc. by forming a new Option Contract for Beneficiary Securities of an Investment Trust, etc. and sells indicator-linked securities within the scope of the amount of Beneficiary Securities of an Investment Trust, etc. that the person will acquire if that right is exercised (such an amount is limited to that remaining after the amount of a transaction as set forth in item (xxiv) associated with Securities of the same issue as the Beneficiary Securities of an Investment Trust, etc. is deducted));

三十二　投資信託受益証券等オプション取引により投資信託受益証券等を買い付ける権利を取得し、又は売り付ける権利を付与している場合において、当該権利を行使し、又は行使された場合に買い付けることとなる投資信託受益証券等の価格の変動により発生し得る危険を減少させるため、当該投資信託受益証券等の価額（投資信託受益証券等オプション取引により当該投資信託受益証券等を売り付ける権利を取得し、又は買い付ける権利を付与している場合に当該権利を行使し、又は行使されることにより売り付けることとなる投資信託受益証券等の価額、当該投資信託受益証券等と同一の銘柄に係る第二十四号及び第二十五号に掲げる取引の額並びに指標連動有価証券に係る前号に掲げる取引の額を控除した価額に限る。）の範囲内で指標連動有価証券の売付けを行う取引（第三号に掲げる取引を除く。）

(xxxii)　a transaction in which the relevant person, having acquired a right to purchase Securities based on an Option Contract for Beneficiary Securities of an Investment Trust, etc., sells indicator-linked securities within the scope of the value of the Beneficiary Securities of an Investment Trust, etc. that the person will come to purchase if that person exercises that right, in order to reduce the potential risk arising from fluctuations in the price of the Beneficiary Securities of an Investment Trust, etc. (but not a transaction as set forth in item (iii)) or a transaction in which the relevant person, having granted another person the right to sell Securities based on an Option Contract for Beneficiary Securities of an Investment Trust, etc., sells indicator-linked securities within the scope of the value of the Beneficiary Securities of an Investment Trust, etc. that the person will come to purchase if that right is exercised, in order to reduce the potential risk arising from fluctuations in the price of the Beneficiary Securities of an Investment Trust, etc. (but not a transaction as set forth in item (iii)) (if the person has acquired the right to sell the Beneficiary Securities of an Investment Trust, etc. based on an Option Contract for Beneficiary Securities of an Investment Trust, etc., the value in question is limited to what remains after the amount of Beneficiary Securities of an Investment Trust, etc. that the person will come to sell if that person exercises that right, the amount of the transaction set forth in item (xxiv) and item (xxv) associated with Securities of the same issue as the Beneficiary Securities of an Investment Trust, etc., and the amount of the transaction set forth in the preceding item associated with the indicator-linked securities are deducted; and if the person has granted another person the right to purchase the Beneficiary Securities of an Investment Trust, etc. based on an Option Contract for Beneficiary Securities of an Investment Trust, etc., the value in question is limited to what remains after the amount of Beneficiary Securities of an Investment Trust, etc. that the person will come to sell if that righty is exercised, the amount of the transaction set forth in item (xxiv) and item (xxv) associated with Securities of the same issue as the Beneficiary Securities of an Investment Trust, etc., and the amount of the transaction set forth in the preceding item associated with the indicator-linked securities are deducted);

三十三　取引所金融商品市場における投資信託受益証券等の価格を当該投資信託受益証券等（第十二号ヘに掲げる有価証券にあっては同号ヘの受託有価証券、同号トに掲げる有価証券にあっては同号トの表示する権利に係る有価証券）に係る指標に平準化するための当該投資信託受益証券等の売付けを行う取引

(xxxiii)　a transaction in which the relevant person sells Beneficiary Securities of an Investment Trust, etc. on a Financial Instruments Exchange Market in order to equalize the prices of the Beneficiary Securities of an Investment Trust, etc. with the level of the Indicator associated with the Beneficiary Securities of an Investment Trust, etc. (or with the Entrusted Securities referred to in item (xii), (f), as regards the Securities set forth in item (xii), (f); or with the Securities associated with the indicated right referred to in (g) of that item, as regards the Securities set forth in (g) of that item);

三十四　合併、株式交換又は株式移転（以下この号において「合併等」という。）を決定した会社の発行した株券（以下この号において「合併等会社株券」という。）の約定価額の水準と当該会社と合併等をする会社の発行する株券（以下この号において「被合併等会社株券」という。）の合併等の比率に基づく約定価額の水準の関係を利用して行う取引であって、合併等会社株券の買付けを新規に行うとともに、その買付価額の範囲内で被合併等会社株券の売付けを行う取引（合併等の期日及び合併等の比率が決定されており、その事実が公表されている場合に限る。）

(xxxiv)　a transaction to be conducted using the relationship between the level of the agreed value of Share Certificates issued by a company that has decided to implement a merger, share exchange, or share transfer (hereinafter collectively referred to as a "Merger, etc." in this item) (hereinafter referred to as "Share Certificates of a Merging, etc. Company" in this item) and the level of the agreed value of shares issued by another company implementing a Merger, etc. with the relevant company (hereinafter referred to as "Share Certificates of a Merged, etc. Company" in this item) based on the ratio of the Merger, etc., in which the person will both make a new purchase of Share Certificates in the Merging, etc. Company and also sell Share Certificates in the Merged, etc. Company within the scope of the purchase value (but only if the date of Merger, etc. and the ratio of Merger, etc. have been decided, and that fact has been made public);

三十五　取引所金融商品市場を開設する金融商品取引所が定める売買単位に満たない数の有価証券につき空売りを行う取引

(xxxv)　a transaction in which a person conducts Short Selling of Securities of a number that is less than the trading unit specified by the Financial Instruments Exchange that operates the relevant Financial Instruments Exchange Market; and

三十六　取引所金融商品市場における有価証券の価格を他の金融商品取引所が開設する取引所金融商品市場又は法第三十条第一項の認可を受けた金融商品取引業者が開設する私設取引システム（令第二十六条の二の二第七項に規定する私設取引システムをいう。以下この章において同じ。）における当該有価証券の価格と平準化するために当該有価証券の売付けを行う取引

(xxxvi)　a transaction in which a person sells Securities in order to equalize the price of Securities in a Financial Instruments Exchange Market with the price of Securities in a Financial Instruments Exchange Market operated by another Financial Instruments Exchange or in a Proprietary Trading System (meaning a Proprietary Trading System as prescribed in Article 26-2-2, paragraph (7) of the Order; hereinafter the same applies in this Chapter) operated by a Financial Instruments Business Operator that has obtained the authorization referred to in Article 30, paragraph (1) of the Act.

一　前項第二号、第三号、第七号及び第九号から第十四号までに掲げる取引

(i)　a transaction as set forth in items (ii), (iii) and (vii), and item (ix) through item (xiv) of the preceding paragraph;

二　店頭マーケットメイカーが、売付けの気配を出す店頭売買有価証券市場において当該売付けに係る気配に基づき自己の計算による空売りを行う取引

(ii)　a transaction in which an Over-the-Counter Market Maker conducts Short Selling on its own account in the Over-the-Counter Securities Market on which it quotes sale prices, based on the sale quotes;

三　買い付けた店頭売買有価証券（店頭売買有価証券市場においてする空売りの委託又は委託の取次ぎの申込みをする者と通じて当該空売りの受託又は委託の取次ぎの引受けに代えて買い付けた当該空売りに係る店頭売買有価証券を除く。）であってその決済を結了していない店頭売買有価証券の売付けを行う取引のうち、当該買い付けた店頭売買有価証券により当該売付けの決済を行う取引

(iii)　a transaction in which a person sells Over-the-Counter Traded Securities purchased thereby (other than Over-the-Counter Traded Securities associated with Short Selling that the person in question has purchased through a person offering to entrust the person in question with Short Selling on an Over-the-Counter Securities Market or to have the person in question broker another person's entrustment with the same, in lieu of undertaking to broker another person's entrustment with Short Selling) whose settlement has yet to be completed, and settles that sale with the Over-the-Counter Traded Securities purchased thereby;

四　店頭売買有価証券市場における売買のうち、当該店頭売買有価証券市場を開設する認可金融商品取引業協会の規則の定めるところによる当該店頭売買有価証券市場の取引のためのシステムを通じた店頭売買有価証券の売買（以下この章において「システム売買」という。）が行われていない時間帯における店頭売買有価証券の空売りを行う取引

(iv)　a purchase and sale on an Over-the-Counter Traded Securities Market constituting a transaction in which the person in question conducts Short Selling of Over-the-Counter Traded Securities outside the trading hours for Over-the-Counter Traded Securities, through a system for transactions on an Over-the-Counter Traded Securities Market, based on the rules specified by the Authorized Financial Instruments Firms Association that operates the Over-the-Counter Traded Securities Market (hereinafter referred to as "System Trading" in this Chapter);

五　空売りを行う取引であって、次に掲げる理由によるもの

(v)　a transaction in which the person in question conducts Short Selling for one of following reasons:

六　信用取引

(vi)　a Margin Transaction;

七　前項第二十号、第二十一号及び第三十四号に掲げる取引

(vii)　the transactions set forth in items (xx), (xxi) and (xxxiv) of the preceding paragraph;

八　店頭売買有価証券市場を開設する認可金融商品取引業協会が定める売買価格の公表の単位に満たない数の店頭売買有価証券につき空売りを行う取引

(viii)　a transaction in which the person in question conducts Short Selling for Over-the-Counter Traded Securities of a volume that is less than the published trading unit specified by the Authorized Financial Instruments Firms Association that operates the Over-the-Counter Securities Market;

九　店頭売買有価証券市場における店頭売買有価証券の価格を他の認可金融商品取引業協会が開設する店頭売買有価証券市場又は法第三十条第一項の認可を受けた金融商品取引業者が開設する私設取引システムにおける当該店頭売買有価証券の価格と平準化するために当該店頭売買有価証券の売付けを行う取引

(ix)　a transaction in which the person in question sells certain Over-the-Counter Traded Securities in order to equalize the price of Over-the-Counter Traded Securities in an Over-the-Counter Securities Market with the price of the Over-the-Counter Traded Securities in an Over-the-Counter Securities Market established by another Authorized Financial Instruments Firms Association or a Proprietary Trading System established by a Financial Instruments Business Operator that has obtained the authorization referred to in Article 30, paragraph (1) of the Act.

一　第一項第二号、第三号、第七号、第九号から第十四号まで及び第十六号に掲げる取引

(i)　a transaction as set forth in paragraph (1), items (ii), (iii) and (vii), item (ix) through item (xiv) and item (xvi);

二　第十四条第二項に規定する金融商品取引業者等が、売付けの気配を出す私設取引システムにおいて当該売付けに係る気配に基づき自己の計算による空売りを行う取引

(ii)　a transaction in which a Financial Instruments Business Operator, etc. prescribed in Article 14, paragraph (2) conducts Short Selling on its own account in the Proprietary Trading System on which the Financial Instruments Business Operator, etc. quotes sale prices, based on the sale quotes;

三　買い付けた有価証券（私設取引システムにおいてする空売りの委託又は委託の取次ぎの申込みをする者と通じて当該空売りの受託又は委託の取次ぎの引受けに代えて買い付けた当該空売りに係る有価証券を除く。）であってその決済を結了していない有価証券の売付けを行う取引のうち、当該買い付けた有価証券により当該売付けの決済を行う取引

(iii)　a transaction in which a person sells Securities purchased thereby (other than Securities associated with Short Selling that the person in question has purchased through a person offering to entrust the person in question with in a Proprietary Trading System or to have the person in question broker another person's entrustment with the same, in lieu of undertaking to broker another person's entrustment with Short Selling) whose settlement has yet to be completed, and settles that sale with the Securities purchased thereby;

四　空売りを行う取引であって、次に掲げる理由によるもの

(iv)　a transaction in which the person in question conducts Short Selling for one of the following reasons:

五　法第三十条第一項の認可を受けた金融商品取引業者の顧客である金融商品取引業者等が次に掲げる価格で顧客と取引所金融商品市場外又は金融商品取引所の業務規程に定める売買立会によらない売買により当該顧客の有している有価証券（借り入れているもの及び令第二十六条の二に規定する場合に該当する場合における同条の有価証券を除く。）の買付けを行うことを約している場合に、当該買付けの数量の範囲内で当該有価証券と同一の銘柄の有価証券を当該金融商品取引業者等が自己の計算により空売りを行う取引（あらかじめ設定されたプログラムに従い売付けの注文が行われることとなっており、かつ、特別の勘定で管理されている場合に限り、第一項第三号に掲げる取引を除く。）

(v)　a transaction in which a Financial Instruments Business Operator, etc. that is itself a customer of a Financial Instruments Business Operator that has obtained the authorization referred to in Article 30, paragraph (1) of the Act, having promised its customer that it will purchase Securities held by that customer (but not those that the customer has borrowed and not the Securities prescribed in Article 26-2 of the Order in a case constituting one as prescribed in the same Article) at one of the following price through a purchase and sale conducted outside the Financial Instruments Exchange Market or a trading session specified in the operational rules of a Financial Instruments Exchange, conducts, on its own account, a Short Selling transaction of Securities of the same issue as the Securities in question, within the scope of the volume of the purchase in question (transactions as set forth in paragraph (1), item (iii) are excluded, but only if sell orders will be executed in accordance with the program set in advance and the transaction is managed under a special account):

六　第一項第二十号から第三十二号まで及び第三十四号に掲げる取引

(vi)　the transactions set forth in paragraph (1), item (xx) through item (xxxii) and item (xxxiv);

七　私設取引システムにおける投資信託受益証券等の価格を当該投資信託受益証券等（第一項第十二号ヘに掲げる有価証券にあっては同号ヘの受託有価証券、同号トに掲げる有価証券にあっては同号トの表示する権利に係る有価証券）に係る指標に平準化するための当該投資信託受益証券等の売付けを行う取引

(vii)　a transaction in which the person in question sells Beneficiary Securities of an Investment Trust, etc. on a Proprietary Trading System in order to equalize the prices of the Beneficiary Securities of an Investment Trust, etc. with the level of the Indicator for the Beneficiary Securities of an Investment Trust, etc. (or for the Entrusted Securities referred to in item (xii), (f), as regards the Securities set forth in paragraph (1), item (xii), (f); or for the Securities associated with the indicated right referred to in (g) of that item, as regards the Securities set forth in (g) of that item);

八　私設取引システムを開設する法第三十条第一項の認可を受けた金融商品取引業者が定める売買単位に満たない数の有価証券につき空売りを行う取引

(viii)　a transaction in which the person in question conducts Short Selling for Securities of a number that is less than the trading unit specified by a Financial Instruments Business Operator that has obtained the authorization referred to in Article 30, paragraph (1) of the Act and establishes the Proprietary Trading System;

九　私設取引システムにおける有価証券の価格を他の法第三十条第一項の認可を受けた金融商品取引業者が開設する私設取引システム又は取引所金融商品市場若しくは店頭売買有価証券市場における当該有価証券の価格と平準化するために当該有価証券の売付けを行う取引

(ix)　a transaction in which the person in question sells Securities in order to equalize the price of the Securities in a Proprietary Trading System with the price of the Securities in a Proprietary Trading System established by another Financial Instruments Business Operator that has obtained the authorization referred to in Article 30, paragraph (1) of the Act or Financial Instruments Exchange Market or Over-the-Counter Securities Market.

一　定義府令第十七条各号に掲げる方法

(i)　the method set forth in the items of Article 17 of the Cabinet Office Order on Definitions; and

二　競売買の方法又は前号に掲げる方法に類似する方法

(ii)　the method of auction or a method similar to the method set forth in the preceding item.

一　第九条の三第一項各号（第十八号を除く。）に掲げる取引

(i)　the transactions set forth in the items of Article 9-3, paragraph (1) (excluding item (xviii));

二　法第二条第三項第一号に規定する適格機関投資家（これに類する外国法人を含む。）に該当しない者が行う信用取引（売付けの数量が金融商品取引所の定める売買単位の五十倍以内である場合に限る。）

(ii)　a Margin Transaction (but only if the volume of sales is within 50 times as much as the trading unit specified by the Financial Instruments Exchange) conducted by a person that does not fall under the category of Qualified Institutional Investor as prescribed in Article 2, paragraph (3), item (i) of the Act (or a foreign corporation similar thereto).

一　第九条の三第二項各号（第六号を除く。）に掲げる取引

(i)　the transactions set forth in the items of Article 9-3, paragraph (2) (excluding item (vi));

二　法第二条第三項第一号に規定する適格機関投資家（これに類する外国法人を含む。）に該当しない者が行う信用取引（売付けの数量が認可金融商品取引業協会の定める売買単位の五十倍以内である場合に限る。）

(ii)　a Margin Transaction (but only if the volume of sales is within 50 times as much as the trading unit specified by an Authorized Financial Instruments Firms Association) conducted by a person that does not fall under the category of a Qualified Institutional Investor as prescribed in Article 2, paragraph (3), item (i) of the Act (or a foreign corporation similar thereto).

一　当該空売りを行ったことにより、当該指定有価証券に係る空売り残高割合（次条第一項第七号に規定する空売り残高割合をいう。以下この条において同じ。）が〇・〇〇二以上となり、かつ、空売り残高売買単位数が五十を超えたとき　当該空売りを行った日

(i)　if, as a result of the Short Selling, the Outstanding Short Selling Positions Ratio (meaning the Outstanding Short Selling Positions Ratio prescribed in paragraph (1), item (vii) of the following Article; hereinafter the same applies in this Article) of the Designated Securities reaches 0.002 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units exceeds 50:　the day on which the Short Selling was conducted;

二　前号に規定する空売り残高割合に変更があったとき（当該変更後の空売り残高割合が〇・〇〇二以上であり、かつ、空売り残高売買単位数が五十を超えている場合に限り、当該変更前及び変更後の空売り残高割合のそれぞれについて小数点以下三位未満の端数を切り捨てて得た数値に変更がないとき及び同号に掲げるときを除く。）　当該変更があった日

(ii)　if there are any changes in the Outstanding Short Selling Positions Ratio prescribed in the preceding item (only if the Outstanding Short Selling Positions Ratio after the change is 0.002 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units after the change exceeds 50, unless there is no change in the figure when any numbers beyond three decimal places in the Outstanding Short Selling Positions Ratio before the change and the Outstanding Short Selling Positions Ratio after the change are disregarded or as set forth in the same item):　the day on which the change occurred;

三　第一号に規定する空売り残高割合又は空売り残高売買単位数に変更があった場合であって、当該変更後の空売り残高割合が〇・〇〇二未満となり、又は空売り残高売買単位数が五十以下となったとき　当該変更があった日

(iii)　if there are changes in the Outstanding Short Selling Positions Ratio or the Number of Outstanding Short Selling Positions Expressed in Trading Units prescribed in item (i), and the Outstanding Short Selling Positions Ratio after the change has ceased to reach 0.002 or more or the Number of Outstanding Short Selling Positions Expressed in Trading Units after the change has ceased to exceed 50:　the day on which the change occurred.

一　当該空売りを行ったことにより、当該指定有価証券に係る空売り残高割合が〇・〇〇二以上となり、かつ、空売り残高売買単位数が五十を超えたとき　当該空売りを行った日

(i)　when, as a result of the Short Selling, the Outstanding Short Selling Positions Ratio associated with the Designated Securities reaches 0.002 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units exceeds 50:　the day on which the Short Selling was conducted;

二　前号に規定する空売り残高割合に変更があったとき（当該変更後の空売り残高割合が〇・〇〇二以上であり、かつ、空売り残高売買単位数が五十を超えている場合に限り、当該変更前及び変更後の空売り残高割合のそれぞれについて小数点以下三位未満の端数を切り捨てて得た数値に変更がないとき及び同号に掲げるときを除く。）　当該変更があった日

(ii)　if there are any changes in the Outstanding Short Selling Positions Ratio prescribed in the preceding item (but only if the Outstanding Short Selling Positions Ratio after the change is 0.002 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units after the change exceeds 50, unless there is no change in the figure when any numbers beyond three decimal places in the Outstanding Short Selling Positions Ratio before the change and the Outstanding Short Selling Positions Ratio after the change are disregarded or as set forth in the same item):　the day on which the change occurred; or

三　第一号に規定する空売り残高割合又は空売り残高売買単位数に変更があった場合であって、当該変更後の空売り残高割合が〇・〇〇二未満となり、又は空売り残高売買単位数が五十以下となったとき当該変更があった日

(iii)　if there are changes in the Outstanding Short Selling Positions Ratio or the Number of Outstanding Short Selling Positions Expressed in Trading Units prescribed in item (i), and the Outstanding Short Selling Positions Ratio after the change has ceased to reach 0.002 or more or the Number of Outstanding Short Selling Positions Expressed in Trading Units after the change has ceased to exceed 50: the day on which the change occurred.

一　信託業（信託業法（平成十六年法律第百五十四号）第二条第一項に規定する信託業をいう。以下同じ。）を営む者が信託財産（投資信託及び投資法人に関する法律第三条第二号に規定する投資信託財産を除く。以下この号及び次条第一項第三号イにおいて同じ。）の運用として行った空売り　当該信託財産（委託者の指図に基づき運用を行う信託財産にあっては、当該委託者）

(i)　the Short Selling conducted by a person engaged in Trust Business (meaning Trust Business as prescribed in Article 2, paragraph (1) of the Trust Business Act (Act No. 154 of 2004); the same applies hereinafter) as the investment of trust property (excluding the investment trust property prescribed in Article 3, item (ii) of the Act on Investment Trusts and Investment Corporations; hereinafter the same applies in this item and paragraph (1), item (iii), (a) of the following Article):　the trust property (or the settlor, for trust property invested based on instructions of a settlor);

二　投資運用業（法第二十八条第四項に規定する投資運用業をいう。以下同じ。）を行う者（法第二条第八項第十二号に掲げる行為に係る業務を行う者に限る。）が投資一任契約の相手方のために運用財産（法第三十五条第一項第十五号に規定する運用財産をいう。次号及び第四号並びに次条第一項第三号において同じ。）の運用（その指図を含む。次号において同じ。）として行った空売り　投資一任契約の相手方

(ii)　the Short Selling conducted by a person engaged in Investment Management Business (meaning Investment Management Business as prescribed in Article 28, paragraph (4) of the Act; the same applies hereinafter) (but only a person that conducts business involving the acts set forth in Article 2, paragraph (8), item (xii) of the Act) as the investment (or gives instructions therefor; the same applies in the following item) of Investment Property (meaning investment property as prescribed in Article 35, paragraph (1), item (xv) of the Act; the same applies in the following item and item (iv) as well as paragraph (1), item (iii) of the following Article) on behalf of the counterparty to a Discretionary Investment Contract:　the counterparty to the Discretionary Investment Contract;

三　投資運用業を行う者（法第二条第八項第十四号に掲げる行為に係る業務を行う者に限る。）が同号に規定する有価証券に表示される権利その他の政令で定める権利を有する者のために運用財産の運用として行った空売り　当該運用財産

(iii)　the Short Selling conducted by a person engaged in Investment Management Business (but only a person that conducts business involving the acts set forth in Article 2, paragraph (8), item (xiv) of the Act) as the investment of Investment Property made on behalf of the person that holds the right indicated on the Securities prescribed in that item or other rights specified by Cabinet Order:　that Investment Property;

四　投資運用業を行う者（法第二条第八項第十五号に掲げる行為に係る業務を行う者に限る。）が同号イからハまでに掲げる権利その他同号に規定する政令で定める権利を有する者のために運用財産の運用として行った空売り当該運用財産

(iv)　the Short Selling conducted by a person engaged in Investment Management Business (but only a person that conducts business involving the acts set forth in Article 2, paragraph (8), item (xv) of the Act) as the investment of Investment Property made on behalf of the person that holds the rights set forth in (a) through (c) of that item or other rights specified by Cabinet Order prescribed in that item: that Investment Property; and

五　前各号に掲げるもののほか、金融庁長官が指定する空売り　金融庁長官が定めるもの

(v)　beyond what is set forth in the preceding items, the Short Selling designated by the Commissioner of the Financial Services Agency:　the things that the Commissioner of the Financial Services Agency specifies.

一　指定有価証券について空売りを行った者の商号、名称又は氏名（当該者が個人（第七号に規定する残高割合が〇・〇五未満である個人に限る。）の場合は、個人である旨）

(i)　the trade name or name of the person that conducted Short Selling with regard to the Designated Securities (and an indication that the person is an individual (but only an individual whose Outstanding Short Selling Positions Ratio prescribed in item (vii) is less than 0.05), if this is the case);

二　指定有価証券について空売りを行った者（第七号に規定する残高割合が〇・〇五未満である個人を除く。）の住所又は所在地（個人の場合は都道府県名及び市町村名又は特別区名とし、非居住者（外国為替及び外国貿易法（昭和二十四年法律第二百二十八号）第六条第一項第六号に規定する非居住者をいう。次号及び第二十九条第二項において同じ。）である個人にあってはこれらに相当するもの）

(ii)　the address or locality of the person that conducted Short Selling with regard to the Designated Securities (excluding individuals whose Outstanding Short Selling Positions Ratio prescribed in item (vii) is less than 0.05) (this means the name of the person's prefecture and the name of the person's municipality or special ward, if the person is an individual; or equivalent information, if the person is a Non-Resident (meaning a non-resident as prescribed in Article 6, paragraph (1), item (vi) of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949); the same applies in the following item and Article 29, paragraph (2)));

三　指定有価証券の空売りが次に掲げる空売りである場合にあっては、次に定める事項

(iii)　the particulars specified in the relevant of the following, if the Short Selling of the Designated Securities is one of the following types of Short Selling:

四　空売りを行った指定有価証券の銘柄

(iv)　the issue name of the Designated Securities for which Short Selling has been conducted;

五　第七号に規定する残高割合の計算年月日

(v)　the date on which the calculation of the outstanding ratio prescribed in item (vii) was conducted;

六　空売りを行った指定有価証券の当該空売りの残高数量及び前条第七項に規定する空売り残高売買単位数

(vi)　the Number of Outstanding Short Selling Positions of the Designated Securities for which the Short Selling was conducted and the Number of Outstanding Short Selling Positions Expressed in Trading Units prescribed in paragraph (7) of the preceding Article;

七　指定有価証券に係る空売り残高割合（前号に掲げる残高数量を指定有価証券の発行済株式の総数又は発行済口数で除して得た数値（小数点以下四位未満の端数があるときは、これを切り捨てたもの）をいう。次条第一項において同じ。）

(vii)　the Outstanding Short Selling Positions Ratio (meaning the figure arrived at when the Number of Outstanding Short Selling Positions set forth in the preceding item is divided by the total number of issued shares or the number of units in issue of the Designated Securities) (disregarding any numbers beyond four decimal places; the same applies in paragraph (1) of the following Article) associated with the Designated Securities; and

八　前条第一項第二号若しくは第三号又は第六項第二号若しくは第三号に該当する場合において残高情報を提供するときは、その提供前の直近に提供した残高情報に係る第五号に掲げる情報及び前号に掲げる情報（次条第一項第二号において「直近空売り残高割合」という。）

(viii)　when providing Balance and Other Information Related to Short Selling in cases falling under paragraph (1), item (ii) or (iii) or paragraph (6), item (ii) or (iii) of the preceding Article, the information set forth in item (v) for the Balance and Other Information Related to Short Selling provided immediately prior to the provision thereof and the information set forth in the preceding item (referred to as "Latest Outstanding Short Selling Positions Ratio" in paragraph (1), item (ii) of the following Article).

一　当該残高情報に係る空売り残高割合が○・○○五以上であること。

(i)　the Outstanding Short Selling Positions Ratio in the Balance and Other Information Related to Short Selling is 0.005 or more; or

二　当該残高情報に係る空売り残高割合が○・○○五未満又は当該残高情報に係る第十五条の二第七項に規定する空売り残高売買単位数が五十以下であり、かつ、当該残高情報に係る直近空売り残高割合が○・○○五以上であること。

(ii)　the Outstanding Short Selling Positions Ratio in the Balance and Other Information Related to Short Selling is less than 0.005 or the Number of Outstanding Short Selling Positions Expressed in Trading Units prescribed in Article 15-2, paragraph (7) associated with the Balance and Other Information Related to Short Selling is no more than 50 and the Latest Outstanding Short Selling Positions Ratio associated with the Balance and Other Information Related to Short Selling is 0.005 or more.

一　法第二条第二十一項第一号に掲げる取引

(i)　transactions set forth in Article 2, paragraph (21), item (i) of the Act;

二　次に掲げる有価証券につき空売りを行う取引

(ii)　a transaction in which the person in question conducts Short Selling for the following Securities:

三　取引所金融商品市場における売買のうち、当該取引所金融商品市場を開設する金融商品取引所の業務規程で定める売買立会によらない売買による空売りを行う取引

(iii)　a transaction in which the person in question conducts Short Selling through a purchase and sale on a Financial Instruments Exchange Market that is conducted outside of the trading session specified in the operational rules of the Financial Instruments Exchange that operates that Financial Instruments Exchange Market.

一　前条第二号イからヌまでに掲げる有価証券につき空売りを行う取引

(i)　a transaction in which the person in question conducts Short Selling for the Securities set forth in item (ii), (a) through (j) of the preceding Article; and

二　店頭売買有価証券市場における売買のうち、システム売買が行われていない時間帯における店頭売買有価証券の空売りを行う取引

(ii)　a transaction constituting a purchase and sale on an Over-the-Counter Securities Market, in which the person in question conducts Short Selling for Over-the-Counter Traded Securities outside System Trading hours.

一　上場等株券等（法第百六十二条の二に規定する上場等株券等をいう。以下この章において同じ。）の発行者が行う会社法第百五十六条第一項（同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定、投資信託及び投資法人に関する法律第八十条の五第二項の規定により読み替えて適用する同法第八十条の二第一項の規定又はこれらに相当する外国の法令の規定（当該発行者が外国の者である場合に限る。以下この章において同じ。）による上場等株券等の売買又はその委託等

(i)　the purchase and sale of Listed or Other Share Certificates, etc. (meaning Listed or Other Share Certificates, etc. as prescribed in Article 162-2 of the Act; hereinafter the same applies in this Chapter) conducted by an Issuer of Listed or Other Share Certificates, etc. under the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Articles 163 and 165, paragraph (3) of that Act), the provisions of Article 80-2, paragraph (1) of the Act on Investment Trusts and Investment Corporations applied following a deemed replacement of terms pursuant to Article 80-5, paragraph (2) of that Act or the laws and regulations of a foreign state equivalent thereto (but only if the Issuer is a foreign person; hereinafter the same applies in this Chapter) or the Entrustment, etc. of a person with such a purchase and sale;

二　信託会社等（法第三十九条第一項第一号に規定する信託会社等をいう。第二十二条において同じ。）が信託契約に基づいて上場等株券等の発行者の計算において行う会社法第百五十六条第一項（同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定、投資信託及び投資法人に関する法律第八十条の五第二項の規定により読み替えて適用する同法第八十条の二第一項の規定又はこれらに相当する外国の法令の規定による上場等株券等の売買又はその委託等

(ii)　the purchase and sale of Listed or Other Share Certificates, etc. conducted by a Trust Company, etc. (meaning a Trust Company, etc. as prescribed in Article 39, paragraph (1), item (i) of the Act; the same applies in Article 22) on the account of the Issuer of Listed or Other Share Certificates, etc. based on a trust contract under the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Article 163 and Article 165, paragraph (3) of that Act), the provisions of Article 80-2, paragraph (1) of the Act on Investment Trusts and Investment Corporations applied following a deemed replacement of terms pursuant to Article 80-5, paragraph (2) of that Act or the laws and regulations of a foreign state equivalent to thereto, or the Entrustment, etc. of a person with such a purchase and sale;

三　金融商品取引業者等が投資一任契約に基づいて上場等株券等の発行者を代理して行う会社法第百五十六条第一項（同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定、投資信託及び投資法人に関する法律第八十条の五第二項の規定により読み替えて適用する同法第八十条の二第一項の規定又はこれらに相当する外国の法令の規定による上場等株券等の売買若しくはその委託等又はこれらの指図

(iii)　the purchase and sale of Listed or Other Share Certificates, etc. conducted by a Financial Instruments Business Operator, etc. based on a Discretionary Investment Contract on behalf of the Issuer of Listed or Other Share Certificates, etc. under the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Article 163 and Article 165, paragraph (3) of that Act), the provisions of Article 80-2, paragraph (1) of the Act on Investment Trusts and Investment Corporations applied following a deemed replacement of terms pursuant to Article 80-5, paragraph (2) of that Act or the laws and regulations of a foreign state equivalent thereto; the Entrustment, etc. of a person with such a purchase and sale; or instructions to do the same;

四　金融商品取引業者等が上場等株券等の発行者から売買の別、個別の取引の総額及び数又は価格の一方について同意を得た上で、他方については当該金融商品取引業者等が定めることができることを内容とする契約（投資一任契約に該当する場合を除く。）に基づいて当該発行者の計算において行う会社法第百五十六条第一項（同法第百六十三条及び第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定、投資信託及び投資法人に関する法律第八十条の五第二項の規定により読み替えて適用する同法第八十条の二第一項の規定又はこれらに相当する外国の法令の規定による上場等株券等の売買又はその委託等

(iv)　the purchase and sale of Listed or Other Share Certificates, etc. conducted by a Financial Instruments Business Operator, etc. on the account of an Issuer of Listed or Other Share Certificates, etc. based on a contract (excluding those falling under the category of a Discretionary Investment Contract) in which the Financial Instruments Business Operator, etc. obtains consent from the Issuer in deciding whether the Listed or Other Share Certificates, etc. will be purchased or sold, the total amount, and either the volume to be traded or the price at which to trade in an individual transaction and may decide the rest thereof, under the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Article 163 and Article 165, paragraph (3) of that Act), the provisions of Article 80-2, paragraph (1) of the Act on Investment Trusts and Investment Corporations applied following a deemed replacement of terms pursuant to Article 80-5, paragraph (2) of that Act or the laws and regulations of a foreign state equivalent thereto, or the Entrustment, etc. of a person with such a purchase and sale; and

五　金融商品取引業者等による前各号に掲げる取引の受託等（法第四十四条の二第一項第一号に規定する受託等をいう。）

(v)　Accepting an Entrustment, etc. (meaning Accepting an Entrustment, etc. as prescribed in Article 44-2, paragraph (1), item (i) of the Act) of the transactions set forth in the preceding items by a Financial Instruments Business Operator, etc.

一　一日に二以上の金融商品取引業者等に対して、上場等株券等の買付け等を行わないこと。

(i)　that the Issuer will not make a Purchase, etc. of Listed or Other Share Certificates, etc. from two or more Financial Instrument Business Operators, etc. in the same day;

二　上場等株券等の買付け等の注文の価格については、次に掲げるいずれかの価格により行うこと。

(ii)　that the order price for the Purchase, etc. of Listed or Other Share Certificates, etc. is any of the following prices:

三　上場等株券等の買付けを行う取引所金融商品市場において、一日に行う上場等株券等の買付け等の注文の数量の合計が次に掲げるいずれかの数量を超えないこと。

(iii)　that the total volume of orders for Purchases, etc. of Listed or Other Share Certificates, etc. that it places in one day on the Financial Instruments Exchange Market in which it will purchase Listed or Other Share Certificates, etc. will not exceed any of the following volumes:

一　一日に二以上の金融商品取引業者等に対して、上場等株券等の買付け等を行わないこと。

(i)　that the Issuer will not make a Purchase, etc. of Listed or Other Share Certificates, etc. from two or more Financial Instruments Business Operators, etc. in the same day;

二　上場等株券等の買付け等の注文にあっては、その日に当該注文を行う時までに公表されたその日の公表価格のうち最も高い価格を上回る価格の指値による当該注文を行うものではなく、かつ、当該指値がマーケットメイカーが発表する売り気配の最安値として金融商品取引所により公表された価格（以下この号において「最良売り気配」という。）を上回らない価格で注文を行うこと、又は当該注文の直後に最良売り気配が上昇した場合における当該最良売り気配の価格による注文を反復継続して行うものでないこと。

(ii)　that an order to Purchase the Listed or Other Share Certificates, etc. will not be made at a limit price that exceeds the highest price of that day's Published Prices which have been published by the time on that day when the order is to be made, and that the Issuer will make the order at the limit price not exceeding the price published by a Financial Instruments Exchange as the lowest ask price published by a Market Maker (hereinafter referred to as the "Lowest Ask Price" in this item) and will not place orders at the Lowest Ask Price repeatedly and continuously if the Lowest Ask Price rises immediately after the order;

三　上場等株券等の買付けを行う取引所金融商品市場において、一日に行う上場等株券等の買付け等の注文の数量の合計が次に掲げるいずれかの数量を超えないこと。

(iii)　that the total volume of orders for Purchases, etc. of Listed or Other Share Certificates, etc. that it places in one day on the Financial Instruments Exchange Market in which it will purchase Listed or Other Share Certificates, etc. will not exceed any of the following volumes:

一　一日に二以上のの金融商品取引業者等に対して、上場等株券等の買付け等を行わないこと。

(i)　that it does not Purchase, etc. Listed or Other Share Certificates, etc. from two or more Financial Instrument Business Operators, etc. in the same day;

二　上場等株券等の買付け等の注文の価格については、次に掲げるいずれかの価格により行うこと。

(ii)　that it makes the Purchase, etc. of Listed or Other Share Certificates, etc. based on an order price as follows:

三　上場等株券等の買付けを行う店頭売買有価証券市場において、一日に行う上場等株券等の買付け等の注文の数量の合計が次に掲げるいずれかの数量を超えないこと。

(iii)　that the total volume of orders for Purchases, etc. of Listed or Other Share Certificates, etc. that it places in one day on the Over-the-Counter Securities Market in which it will purchase Listed or Other Share Certificates, etc. does not exceed any of the following volumes:

一　一日に二以上の金融商品取引業者等に対して、上場等株券等の買付け等を行わないこと。

(i)　that it does not Purchase, etc. Listed or Other Share Certificates, etc. from two or more Financial Instrument Business Operators, etc. in the same day;

二　上場等株券等の買付け等の注文にあっては、その日に当該注文を行う時までに公表されたその日の公表価格のうち最も高い価格を上回る価格の指値による当該注文を行うものではなく、かつ、当該指値が店頭マーケットメイカーが発表する売り気配の最安値として認可金融商品取引業協会により公表された価格（以下この号において「最良売り気配」という。）を上回らない価格で注文を行うこと、又は当該注文の直後に最良売り気配が上昇した場合における当該最良売り気配の価格による注文を反復継続して行うものでないこと。

(ii)　that it does not place any order to Purchase, etc. Listed or Other Share Certificates, etc. at a limit price that exceeds the highest price of that day's Published Prices that have been published on that day by the time it places the order, and that it places the order for this at a limit price not exceeding the price published by the Authorized Financial Instruments Firms Association as the lowest ask price published by an Over-the-Counter Market Maker (hereinafter referred to as the "Lowest Ask Price" in this item) and will not repeatedly and continuously place orders at that Lowest Ask Price if the Lowest Ask Price rises immediately after the order;

三　上場等株券等の買付けを行う店頭売買有価証券市場において、一日に行う上場等株券等の買付け等の注文の数量の合計が次に掲げるいずれかの数量を超えないこと。

(iii)　that the total volume of orders for Purchases, etc. of Listed or Other Share Certificates, etc. that it places in one day on the Over-the-Counter Securities Market in which it will purchase Listed or Other Share Certificates, etc. will not exceed any of the following volumes:

一　取引所金融商品市場における上場等株券等の買付け等（次号に規定する上場等株券等の買付け等を除く。）のうち、次に掲げる要件を満たすものとして、金融商品取引所が適当と認める方法

(i)　a method of Purchase, etc. of Listed or Other Share Certificates, etc. on a Financial Instruments Exchange Market (other than a Purchase, etc. of Listed or Other Share Certificates, etc. prescribed in the following item), that the Financial Instruments Exchange finds to be appropriate as one that satisfies the following requirements:

二　取引所金融商品市場におけるマーケットメイク銘柄に係る上場等株券等の買付け等のうち、次に掲げる要件を満たすものとして、金融商品取引所が適当と認める方法

(ii)　a method of Purchase, etc. of Listed or Other Share Certificates, etc. associated with a Market Making Issue on the Financial Instruments Exchange Market that the Financial Instruments Exchange finds to be appropriate as one that satisfies the following requirements:

三　店頭売買有価証券市場における上場等株券等の買付け等（次号に規定する上場等株券等の買付け等を除く。）のうち、次に掲げる要件を満たすものとして、認可金融商品取引業協会が適当と認める方法

(iii)　a method of Purchase, etc. of Listed or Other Share Certificates, etc. in an Over-the-Counter Securities Market (other than a Purchase, etc. of Listed or Other Share Certificates, etc. as prescribed in the following item) that the Authorized Financial Instruments Firms Association finds to be appropriate as satisfying the following requirements:

四　店頭売買有価証券市場における店頭マーケットメイク銘柄に係る上場等株券等の買付け等のうち、次に掲げる要件を満たすものとして、認可金融商品取引業協会が適当と認める方法

(iv)　a method of Purchase, etc. of Listed or Other Share Certificates, etc. associated with an Over-the-Counter Market Making Issue on an Over-the-Counter Securities Market that the Authorized Financial Instruments Firms Association finds to be appropriate as satisfying the following requirements:

一　信託業を営む者が信託財産として所有する株式

(i)　the shares held as a trust property by a person engaged in Trust Business;

二　有価証券関連業（法第二十八条第八項に規定する有価証券関連業をいう。第五十九条第一項第十四号ロ（１）及び第六十二条第二号において同じ。）を行う者が有価証券の引受け（法第二条第八項第六号に規定する有価証券の引受けをいう。）又は売出し若しくは特定投資家向け売付け勧誘等を行う業務により取得した株式

(ii)　the shares acquired by a person engaged in Securities-Related Business (meaning Securities-Related Business as prescribed in Article 28, paragraph (8) of the Act; the same applies in Article 59, paragraph (1), item (xiv), (b), 1. and Article 62, item (ii)) through the business of Underwriting of Securities (meaning the Underwriting of Securities as prescribed in Article 2, paragraph (8), item (vi) of the Act) or Secondary Distribution of Securities, or Exclusive Offer to Sell, etc. to Professional Investors; and

三　法第百五十六条の二十四第一項に規定する業務を行う者がその業務として所有する株式

(iii)　the shares held by a person engaged in the business prescribed in Article 156-24, paragraph (1) of the Act as the person's business.

一　当該有価証券の発行を目的として設立又は運営される法人（次号において「特別目的法人」という。）に直接又は間接に所有者から譲渡（取得を含む。）される金銭債権その他の資産（次号において「譲渡資産」という。）が存在すること。

(i)　that there exists monetary claim or other assets to be assigned (or acquired) directly or indirectly from the owner to a corporation established or operated for the purpose of the issuance of Securities (referred to as the "Special Purpose Corporation" in the following item) (the monetary claim or assets are collectively referred to as the "Assigned Assets" in the following item);

二　特別目的法人が当該有価証券を発行し、当該有価証券（当該有価証券の借換えのために発行されるものを含む。）上の債務の履行について譲渡資産の管理、運用又は処分を行うことにより得られる金銭を当てること。

(ii)　that a Special Purpose Corporation will issue the relevant Securities (or those that are issued for the refinancing of the relevant Securities), and use the money obtained through the management, investment, or disposal of the Assigned Assets for the performance of obligations arising from the Securities.

一　特定有価証券等に係る法第二条第二十一項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を受領する立場の当事者（当該特定有価証券等が売方関連有価証券の場合にあっては、支払う立場の当事者。以下この条及び次条において同じ。）となるもの

(i)　a transaction as set forth in Article 2, paragraph (21), item (ii) of the Act that concerns Specified Securities, etc.:　one in which the person in question would be the party to receive the money (or the party to pay the money, if the Specified Securities, etc. are Seller-Related Securities; hereinafter the same applies in this Article and the following Article) if the Actual Figure exceeds the Agreed Figure;

二　特定有価証券等に係る法第二条第二十一項第二号に掲げる取引（これに準ずる取引で金融商品取引所の定めるものを含む。以下この号において同じ。）に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者（当該特定有価証券等が売方関連有価証券の場合にあっては、受領する立場の当事者。以下この条及び次条において同じ。）となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の付与

(ii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph (or an equivalent transaction that a Financial Instruments Exchange specifies; hereinafter the same applies in this item) which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option equivalent thereto that a Financial Instruments Exchange specifies) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure (or the party to receive money, if the Specified Securities, etc. are Seller-Related Securities; hereinafter the same applies in this Article and following Articles), or an Option equivalent thereto that a Financial Instruments Exchange specifies);

三　特定有価証券等の売買に係る法第二条第二十一項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において買主としての地位（当該特定有価証券等が売方関連有価証券の場合にあっては、売主としての地位。以下この条、次条及び第三十五条において同じ。）を取得するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において売主としての地位（当該特定有価証券等が売方関連有価証券の場合にあっては、買主としての地位。以下この条、次条及び第三十五条において同じ。）を取得するものに限る。）の付与

(iii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns the purchase and sale of Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer in the associated purchase and sale of Specified Securities, etc. (or the position of seller, if the Specified Securities, etc. are Seller-Related Securities; hereinafter the same applies in this Article, the following Article and Article 35)) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Specified Securities, etc. (or the position of buyer, if the Specified Securities, etc. are Seller-Related Securities; hereinafter the same applies in this Article, the following Article and Article 35));

四　特定有価証券等に係る法第二条第二十一項第四号に掲げる取引　特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの又は特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの

(iv)　a transaction as set forth in Article 2, paragraph (21), item (iv) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to receive the money if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon, or one in which the person in question will be the party to pay the money if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon;

五　特定有価証券等に係る法第二条第二十一項第四号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの又は特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの又は特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるものに限る。）の付与

(v)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (iv) of that paragraph involving Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person in question to be the party to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon or one whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon or one whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon);

六　特定有価証券等に係る法第二条第二十一項第五号に掲げる取引　当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの

(vi)　a transaction as set forth in Article 2, paragraph (21), item (v) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to pay the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs;

七　特定有価証券等に係る法第二条第二十一項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるものに限る。）の付与

(vii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph involving Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs) or the granting of an Option (but only an Option whose exercise would cause the person that exercises it to be the party to receive the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs);

八　特定有価証券等に係る外国市場デリバティブ取引　前各号に掲げる取引の区分に応じ、当該各号に定めるものと類似するもの

(viii)　a Foreign Market Derivatives Transaction involving Specified Securities, etc.:　one that is similar to what one of the preceding items prescribes for the category of transaction set forth in that item;

九　特定有価証券等に係る法第二条第二十二項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するもの

(ix)　a transaction as set forth in Article 2, paragraph (22), item (ii) of the Act that concerns Specified Securities, etc.:　one in which the relevant person will be the party to receive the money if the Actual Figure exceeds the Agreed Figure, or one that is similar to this;

十　特定有価証券等に係る法第二条第二十二項第二号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の付与

(x)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this);

十一　特定有価証券等の売買に係る法第二条第二十二項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において買主としての地位を取得するもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において売主としての地位を取得するもの又はこれに類似するものに限る。）の付与

(xi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns the purchase and sale of Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer in the associated purchase and sale of Specified Securities, etc., or an Option similar to this) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Specified Securities, etc., or an Option similar to this);

十二　特定有価証券等に係る法第二条第二十二項第四号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該特定有価証券等の価格が当該行使をした場合の特定有価証券等の価格としてあらかじめ約定する数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該特定有価証券等の価格が当該行使をした場合の特定有価証券等の価格としてあらかじめ約定する数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xii)　a transaction as set forth in Article 2, paragraph (22), item (iv) of the Act that concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction if the actual price of the Specified Securities, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Specified Securities, etc. will be if the party exercises that Option, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction if the actual price of the Specified Securities, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Specified Securities, etc. will be if the party exercises that Option, or an Option similar to this);

十三　特定有価証券等に係る法第二条第二十二項第五号に掲げる取引　特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの若しくは特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの又はこれらに類似するもの

(xiii)　a transaction as set forth in Article 2, paragraph (22), item (v) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to receive the money if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon, one in which the person in question will be the party to pay the money if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon, or one that is similar to either of these;

十四　特定有価証券等に係る法第二条第二十二項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの若しくは特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの又はこれらに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの若しくは特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの又はこれらに類似するものに限る。）の付与

(xiv)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the person to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon, an Option whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar to these) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon, an Option whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar to these);

十五　特定有価証券等に係る法第二条第二十二項第六号に掲げる取引　当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの又はこれに類似するもの

(xv)　a transaction as set forth in Article 2, paragraph (22), item (vi) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to pay the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or one that is similar to this; and

十六　特定有価証券等に係る法第二条第二十二項第六号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xvi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (vi) of that paragraph involving Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this).

一　特定有価証券等に係る法第二条第二十一項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの

(i)　a transaction as set forth in Article 2, paragraph (21), item (ii) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to pay the money if the Actual Figure exceeds the Agreed Figure;

二　特定有価証券等に係る法第二条第二十一項第二号に掲げる取引（これに準ずる取引で金融商品取引所の定めるものを含む。以下この号において同じ。）に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の付与

(ii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph which concerns Specified Securities, etc. (or an equivalent transaction that a Financial Instruments Exchange specifies; hereinafter the same applies in this item):　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option equivalent to this that a Financial Instruments Exchange specifies) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option equivalent to this that a Financial Instruments Exchange specifies);

三　特定有価証券等の売買に係る法第二条第二十一項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において売主としての地位を取得するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において買主としての地位を取得するものに限る。）の付与

(iii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns the purchase and sale of Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Specified Securities, etc.) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer in the associated purchase and sale of Specified Securities, etc.);

四　特定有価証券等に係る法第二条第二十一項第四号に掲げる取引　特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの又は特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの

(iv)　a transaction as set forth in Article 2, paragraph (21), item (iv) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to pay the money if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon, or the party to receive the money if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon;

五　特定有価証券等に係る法第二条第二十一項第四号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの又は特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの又は特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるものに限る。）の付与

(v)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (iv) of that paragraph which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon or one whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon or one whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon);

六　特定有価証券等に係る法第二条第二十一項第五号に掲げる取引　当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの

(vi)　a transaction as set forth in Article 2, paragraph (21), item (v) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to receive the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs;

七　特定有価証券等に係る法第二条第二十一項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるものに限る。）の付与

(vii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person that exercises it to be the party to receive the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs);

八　特定有価証券等に係る外国市場デリバティブ取引　前各号に掲げる取引の区分に応じ、当該各号に定めるものと類似するもの

(viii)　a Foreign Market Derivatives Transaction involving Specified Securities, etc.:　one that is similar to what one of the preceding items prescribes for the category of transaction set forth in that item;

九　特定有価証券等に係る法第二条第二十二項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するもの

(ix)　a transaction as set forth in Article 2, paragraph (22), item (ii) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to pay the money if the Actual Figure exceeds the Agreed Figure, or one that is similar to this;

十　特定有価証券等に係る法第二条第二十二項第二号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の付与

(x)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this);

十一　特定有価証券等の売買に係る法第二条第二十二項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において売主としての地位を取得するもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る特定有価証券等の売買において買主としての地位を取得するもの又はこれに類似するものに限る。）の付与

(xi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns the purchase and sale of Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Specified Securities, etc., or an Option similar to this) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer in the associated purchase and sale of Specified Securities, etc., or an Option similar to this);

十二　特定有価証券等に係る法第二条第二十二項第四号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該特定有価証券等の価格が当該行使をした場合の特定有価証券等の価格としてあらかじめ約定する数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該特定有価証券等の価格が当該行使をした場合の特定有価証券等の価格としてあらかじめ約定する数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xii)　a transaction as set forth in Article 2, paragraph (22), item (iv) of the Act that concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction if the actual price of the Specified Securities, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Specified Securities, etc. will be if the party exercises that Option, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction if the actual price of the Specified Securities, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Specified Securities, etc. will be if the party exercises that Option, or an Option similar to this);

十三　特定有価証券等に係る法第二条第二十二項第五号に掲げる取引　特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの若しくは特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの又はこれらに類似するもの

(xiii)　a transaction as set forth in Article 2, paragraph (22), item (v) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to pay the money if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon, one in which the person in question will be the party to receive the money if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon, or one that is similar to either of these;

十四　特定有価証券等に係る法第二条第二十二項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの若しくは特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの又はこれらに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において特定有価証券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの若しくは特定有価証券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの又はこれらに類似するものに限る。）の付与

(xiv)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon, an Option whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar to these) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. rises above the price they are at the time the transaction is agreed upon or one whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Specified Securities, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar thereto);

十五　特定有価証券等に係る法第二条第二十二項第六号に掲げる取引　当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの又はこれに類似するもの

(xv)　a transaction as set forth in Article 2, paragraph (22), item (vi) of the Act that concerns Specified Securities, etc.:　one in which the person in question will be the party to receive the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or one that is similar to this; and

十六　特定有価証券等に係る法第二条第二十二項第六号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xvi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (vi) of that paragraph which concerns Specified Securities, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this).

一　会社法第百八十八条第一項に規定する一単元の株式の数に満たない数の株式のみに係る株券の買付け又は売付けをした場合

(i)　one in which the person in question has purchased or sold share certificates associated only with a number of shares not fully constituting one unit of shares as prescribed in Article 188, paragraph (1) of the Companies Act;

二　上場会社等の役員又は従業員（当該上場会社等が他の会社を直接又は間接に支配している場合における当該他の会社の役員又は従業員を含む。以下この号及び次号において同じ。）が当該上場会社等の他の役員又は従業員と共同して当該上場会社等の株券又は投資証券の買付けを行った場合（当該上場会社等が会社法第百五十六条第一項（同法第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定に基づき買い付けていた株券以外のものを買い付けたときは、金融商品取引業者に委託等をして行った場合に限る。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各役員又は従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(ii)　one in which an officer or employee of a Listed Company, etc. (or an officer or employee of another company that a Listed Company controls directly or indirectly; hereinafter the same applies in this item and the following item), jointly with another officer or employee of the Listed Company, etc., has purchased share certificates or Investment Securities of the Listed Company, etc. (but only if that officer or employee has purchased these by Entrusting, etc. a Financial Instruments Business Operator, etc. with doing so, in the event that the purchase is of share certificates other than those that the Listed Company, etc. has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Articles 165, paragraph (3) of that Act)), and in which those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each officer or employee is to contribute less than one million yen per occasion; the same applies in the following item);

三　上場会社等の役員又は従業員が信託業を営む者と信託財産を当該上場会社等の株券又は投資証券に対する投資として運用することを目的とする信託契約を締結し、当該信託業を営む者が当該役員又は従業員の指図に基づき当該上場会社等の株券又は投資証券の買付けを行った場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（当該役員又は従業員を委託者とする信託財産と当該上場会社等の他の役員又は従業員を委託者とする信託財産とが合同して運用される場合に限る。）

(iii)　one in which an officer or employee of a Listed Company, etc. has concluded a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates or Investment Securities of the Listed Company, etc. and the person engaged in Trust Business has purchased share certificates or Investment Securities of the Listed Company, etc. based on the instructions from the officer or employee, and in which those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the trust property for which the settlor is the officer or employee and the trust property for which the settlor is another officer or employee of the Listed Company are jointly invested);

四　上場会社等（上場投資法人等を除く。以下この号から第六号までにおいて同じ。）の関係会社の従業員が当該関係会社の他の従業員と共同して当該上場会社等の株券の買付けを金融商品取引業者に委託等をして行った場合（第二号に掲げる場合を除く。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(iv)　one in which an employee of an Associated Company of a Listed Company, etc. (but not a Listed Investment Corporation, etc.; hereinafter the same applies in this item through item (vi)) jointly with another employee of the Associated Company has purchased share certificates of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator with doing this (other than as set forth in item (ii)), and in which those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each employee is to contribute less than one million yen per occasion; the same applies in the following item);

五　上場会社等の関係会社の従業員が信託業を営む者と信託財産を当該上場会社等の株券に対する投資として運用することを目的とする信託契約を締結し、当該信託業を営む者が当該従業員の指図に基づき当該上場会社等の株券の買付けを行った場合（第三号に掲げる場合を除く。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（当該従業員を委託者とする信託財産と当該関係会社の他の従業員を委託者とする信託財産とが合同して運用される場合に限る。）

(v)　one in which an employee of an Associated Company of a Listed Company, etc. has concluded a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates of the Listed Company, etc., and the person engaged in Trust Business has purchased share certificates of the Listed Company, etc. based on instructions from the employee (but not as set forth in item (iii)), and in which those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the trust property for which the settlor is the employee and the trust property for which the settlor is another employee of the Associated Company are jointly invested);

六　上場会社等の取引関係者（当該上場会社等の指定する当該上場会社等と取引関係にある者（法人その他の団体にあってはその役員を含み、個人にあってはその事業に関して当該上場会社等と取引関係にある場合に限る。）をいう。以下この号において同じ。）が当該上場会社等の他の取引関係者と共同して当該上場会社等の株券の買付けを金融商品取引業者に委託等をして行った場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各取引関係者の一回当たりの拠出金額が百万円に満たない場合に限る。）

(vi)　one in which a Person Who Has a Transaction Relationship with a Listed Company, etc. (meaning a person that has a transaction relationship with the Listed Company, etc. as designated by the Listed Company, etc. (or that person's officers, if the person is a corporation or any other type of organization; if the person is an individual, this applies only if that individual has a transaction relationship with the Listed Company, etc. in connection with that individual's business); hereinafter the same applies in this item), jointly with another Person Who Has a Transaction Relationship with the Listed Company, etc., has purchased share certificates of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator with doing this, and in which those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each Person Who Has a Transaction Relationship is to contribute less than one million yen per occasion);

六の二　上場会社等（上場投資法人等に限る。以下この号において同じ。）の資産運用会社又はその特定関係法人（法第百六十六条第五項に規定する特定関係法人をいう。以下同じ。）の役員又は従業員が当該資産運用会社又は当該特定関係法人の他の役員又は従業員と共同して当該上場会社等の投資証券の買付けを金融商品取引業者に委託等をして行った場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各役員又は従業員の一回当たりの拠出金額が百万円に満たない場合に限る。）

(vi)-2　one in which an officer or employee of an Asset Management Company of a Listed Company, etc. (but only a Listed Investment Corporation, etc.; hereinafter the same applies in this item) or a Corporation in Specified Relationship (meaning a Corporation in Specified Relationship as prescribed in Article 166, paragraph (5) of the Act; the same applies hereinafter) therewith, jointly with another officer or employee of the Asset Management Company or the Corporation in Specified Relationship, has purchased Investment Securities of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator with doing this, and in which those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each officer or employee is to contribute less than one million yen per occasion);

七　累積投資契約により上場会社等の株券（優先出資証券を含む。第十五号において同じ。）又は投資証券の買付けが金融商品取引業者に委託等をして行われた場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各顧客の一銘柄に対する払込金額が一月当たり百万円に満たない場合に限る。）

(vii)　one in which share certificates (or Preferred Equity Investment Certificates; the same applies in item (xv)) or Investment Securities of a Listed Company, etc. have been purchased by a person's Entrusting, etc. a Financial Instruments Business Operator with doing so pursuant to a Contract for Cumulative Investment, and in which those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the amount to be paid in for one issue by each customer is to be less than one million yen per month);

八　金融商品取引所で行われる銘柄の異なる複数の株券又は投資証券の集合体を対象とする法第二条第二十一項第一号に掲げる取引を行った場合

(viii)　one in which the transactions set forth in Article 2, paragraph (21), item (i) of the Act concerning an aggregate of two or more share certificates or Investment Securities of different issues conducted in a Financial Instruments Exchange are conducted;

九　法第百五十九条第三項に規定する政令で定めるところにより特定有価証券の売買をした場合

(ix)　one in which the relevant person conducts a purchase and sale of Specified Securities as specified by Cabinet Order as is provided in Article 159, paragraph (3) of the Act;

十　上場会社等の役員又は主要株主が、当該上場会社等の発行する特定有価証券等のうち次のいずれかに該当するものに係る買戻条件付売買であって買戻価格があらかじめ定められているものを行う場合（当該役員又は主要株主が専ら自己の資金調達のために行う場合に限る。）

(x)　one in which an officer or Major Shareholder of a Listed Company, etc. makes a purchase and sale on condition of repurchase for which the repurchase price is set in advance associated with the Specified Securities, etc. issued by the Listed Company, etc., which falls under the category of any of the following Securities (limited to those conducted by the officer or Major Shareholder solely for the officer's or Major Shareholder's own fund procurement):

十一　会社法第二百三十八条第一項に規定する募集新株予約権を取得した場合

(xi)　one in which the share options for subscription prescribed in Article 238, paragraph (1) of the Companies Act are acquired;

十二　新株予約権又は新投資口予約権（投資信託及び投資法人に関する法律第二条第十七項に規定する新投資口予約権をいう。以下同じ。）を有する者が当該新株予約権又は当該新投資口予約権を行使することにより株券又は投資証券の買付けを行った場合

(xii)　one in which a person that holds share options or Investment Equity Subscription Rights (meaning Investment Equity Subscription Rights as prescribed in Article 2, paragraph (17) of the Act on Investment Trusts and Investment Corporations; the same applies hereinafter) has purchased share certificates or Investment Securities by exercising the share options or Investment Equity Subscription Rights;

十三　上場会社等の役員が、当該上場会社等に対し役務の提供をする場合において、当該役務の提供の対価として当該役員に生ずる債権の給付と引換えに取得することとなる当該上場会社等の株券の買付けをした場合

(xiii)　one in which an officer of a Listed Company, etc. will provide services to the Listed Company, etc., and has purchased share certificates of the Listed Company, etc. that the officer will acquire in exchange for payment of the claim acquired thereby, as consideration for the officer's provision of services;

十四　特定有価証券等に係る法第二条第二十一項第四号又は第二十二項第五号に掲げる取引を行った場合

(xiv)　one in which the relevant person conducts a transaction as set forth in Article 2, paragraph (21), item (iv) or Article 2, paragraph (22), item (v) of the Act that concerns Specified Securities, etc.;

十五　銀行等保有株式取得機構が上場会社等の株券若しくは投資証券の買付け（銀行等の株式等の保有の制限等に関する法律（平成十三年法律第百三十一号）第三十八条第二項に規定する特別株式買取り（同法第三十八条の二第一項の規定による株式の買取りを含む。）に該当する場合及び同法第三十八条の六第一項の規定による投資口の買取りに該当する場合に限る。）を行った場合又は当該買い付けた株券若しくは投資証券の売付けを行った場合（同法第三十五条の規定に基づき、銀行等保有株式取得機構からその業務の一部について委託を受けた者が当該委託に基づき上場会社等の株券又は投資証券の買付け又は売付けを行った場合を含む。）

(xv)　one in which the Banks' Shareholdings Purchase Corporation has purchased share certificates or Investment Securities of a Listed Company, etc. (but only one that falls under the category of a special share purchase prescribed in Article 38, paragraph (2) of the Act on Limits for Share, etc. Holdings by Banks and Other Financial Institutions (Act No. 131 of 2001) (or the purchase of share certificates under the provisions of Article 38-2, paragraph (1) of that Act) and those which fall under the category of purchase of Investment Equity under the provisions of Article 38-6, paragraph (1) of that Act) or a sale of the share certificates or Investment Securities which it has purchased (or if the person that the Banks' Shareholdings Purchase Corporation entrusts with part of its business pursuant to the provisions of Article 35 of that Act makes a purchase or sale of share certificates or Investment Securities of a Listed Company, etc. under the entrustment).

一　上場会社等が他の会社の総株主等の議決権（法第二十九条の四第二項に規定する総株主等の議決権をいう。以下同じ。）の百分の五十を超える議決権を保有する場合における当該他の会社

(i)　a second company in which the Listed Company, etc. holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. (meaning the Voting Rights Held by All the Shareholders, etc. as prescribed in Article 29-4, paragraph (2) of the Act; the same applies hereinafter);

二　前号に掲げる会社が他の会社の総株主等の議決権の百分の五十を超える議決権を保有する場合における当該他の会社

(ii)　a third company in which a second company as set forth in the preceding item holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc.; or

三　前号に掲げる会社が他の会社の総株主等の議決権の百分の五十を超える議決権を保有する場合における当該他の会社

(iii)　a forth company in which a third company as set forth in the preceding item holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc.

一　上場会社等が他の会社の総株主等の議決権の百分の二十五以上の議決権を保有する場合における当該他の会社

(i)　a second company in which a Listed Company, etc. holds voting rights constituting not less than 25 percent of the Voting Rights Held by All the Shareholders, etc.;

二　上場会社等に対する前事業年度における他の会社の売上高が当該他の会社の売上高の総額の百分の五十以上である場合における当該他の会社

(ii)　a second company whose net sales to a Listed Company, etc. in the previous business year were not less than 50 percent of the second company's total amount of net sales; and

三　上場会社等からの前事業年度における他の会社の仕入高が当該他の会社の仕入高の総額の百分の五十以上である場合における当該他の会社

(iii)　a second company whose purchases from a Listed Company, etc. in the previous business year were not less than 50 percent of the total amount of the second company's purchases.

一　特定有価証券等の売付け等（売買合致数量に係るものに限る。）の価額

(i)　the Value of Sales, etc. (limited to the amount associated with the Matched Trading Volume) of Specified Securities, etc.; and

二　特定有価証券等の買付け等（売買合致数量に係るものに限る。）の価額

(ii)　the Value of Purchases, etc. (limited to the amount associated with the Matched Trading Volume) of Specified Securities, etc.

一　関連有価証券（売方関連有価証券を除く。以下この条及び次条において同じ。）の売付け又は売方関連有価証券の買付け　当該売付けに係る関連有価証券又は買付けに係る売方関連有価証券に表示されたオプション又は権利に係る特定有価証券の額

(i)　the sale of Related Securities (excluding Seller-Related Securities; hereinafter the same applies in this Article and the following Article), or the purchase of Seller-Related Securities:　the amount of Specified Securities associated with Options or rights indicated on the Related Securities subject to the sale or on the Seller-Related Securities subject to the purchase;

二　特定有価証券の売買に係る法第二条第二十一項第三号又は第二十二項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する売買に係る特定有価証券の額

(ii)　the transactions set forth in Article 2, paragraph (21), item (iii) or paragraph (22), item (iii) of the Act associated with the purchase and sale of Specified Securities:　the amount of Specified Securities subject to the purchase and sale which are effected when the Options acquired or granted are exercised;

三　関連有価証券又は売方関連有価証券の売買に係る法第二条第二十一項第三号若しくは第二十二項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する売買に係る関連有価証券又は売方関連有価証券に表示されたオプション又は権利に係る特定有価証券の額

(iii)　the transactions set forth in Article 2, paragraph (21), item (iii) or paragraph (22), item (iii) of the Act associated with the purchase and sale of Related Securities or Seller-Related Securities:　the amount of Specified Securities associated with Options or rights indicated on Related Securities or on Seller-Related Securities subject to the purchase and sale which are effected when the Options acquired or granted are exercised.

一　特定有価証券の売付け　当該役員又は主要株主の売付けに係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって、当該役員又は主要株主が所有するものの額に次のイからトまでに掲げる額を加えた額からチからワまでに掲げる額を控除した額

(i)　the sale of Specified Securities: the amount arrived at when the amounts set forth in the following (h) through (m) are deducted from the amount arrived at when the amounts set forth in the following (a) through (g) are added to the amount of Specified Securities of a Listed Company, etc. owned by an officer or Major Shareholder which are of the same type as the Specified Securities subject to sale by the officer or Major Shareholder:

二　関連有価証券の売付け又は売方関連有価証券の買付け　当該役員又は主要株主の売付けに係る関連有価証券又は買付けに係る売方関連有価証券に表示されたオプション又は権利に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該役員又は主要株主が所有するものの額に前号イからトまでに掲げる額を加えた額から同号チからワまでに掲げる額を控除した額

(ii)　the sale of Related Securities or the purchase of Seller-Related Securities:　the amount arrived at when the amounts set forth in (h) through (m) of the preceding item are deducted from the amounts arrived at when the amounts set forth in (a) through (g) are added to the amount of Specified Securities of the Listed Company, etc. owned by an officer or Major Shareholder which are of the same type as the Specified Securities related to the Options or rights indicated on the Related Securities subject to sale or Seller-Related Securities subject to purchase by the officer or Major Shareholder;

三　特定有価証券の売買に係る法第二条第二十一項第三号又は第二十二項第三号に掲げる取引　当該役員又は主要株主の取得し、又は付与したオプションが行使された場合に成立する売買に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該役員又は主要株主が所有するものの額に第一号イからトまでに掲げる額を加えた額から同号チからワまでに掲げる額を控除した額

(iii)　the transactions set forth in Article 2, paragraph (21), item (iii) or paragraph (22), item (iii) of the Act associated with the purchase and sale of Specified Securities:　the amount arrived at when the amounts set forth in (h) through (m) of item (i) are deducted from the amount arrived at when the amounts set forth in (a) through (g) of that item are added to the amount of Specified Securities of the Listed Company, etc. owned by the relevant officer or Major Shareholder which are of the same type as the Specified Securities subject to the purchase and sale effected when the Options which the officer or Major Shareholder acquired or granted are exercised; and

四　関連有価証券又は売方関連有価証券の売買に係る法第二条第二十一項第三号若しくは第二十二項第三号に掲げる取引　当該役員又は主要株主の取得し、又は付与したオプションが行使された場合に成立する売買に係る関連有価証券又は売方関連有価証券に表示されたオプション又は権利に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該役員又は主要株主が所有するものの額に第一号イからトまでに掲げる額を加えた額から同号チからワまでに掲げる額を控除した額

(iv)　the transactions set forth in Article 2, paragraph (21), item (iii) or paragraph (22), item (iii) of the Act associated with the purchase and sale of Related Securities or Seller-Related Securities:　the amount arrived at when the amounts set forth in (h) through (m) of item (i) are deducted from the amount arrived at when the amounts set forth in (a) through (g) of that item are added to the amount of Specified Securities of the Listed Company, etc. owned by the relevant officer or Major Shareholder which are of the same type as the Specified Securities associated with Options or rights indicated on the Related Securities or Seller-Related Securities subject to the purchase and sale effected when the Options which the officer or Major Shareholder acquired or granted are exercised.

一　特定有価証券に係る法第二条第二十一項第二号又は第二十二項第二号に掲げる取引　当該取引に係る取引契約金額を一特定有価証券当たりの約定数値（約定数値をその取引に係る想定特定有価証券数で除して得た数値）で除して得た数量

(i)　the transactions set forth in Article 2, paragraph (21), item (ii) or paragraph (22), item (ii) of the Act concerning Specified Securities:　the volume arrived at when the transaction contract value for that transaction is divided by the Agreed Figure for one Specified Security (the figure arrived at when the Agreed Figure is divided by the notional number of Specified Securities subject to the transaction);

二　特定有価証券に係る法第二条第二十一項第二号に掲げる取引（これに準ずる取引で金融商品取引所の定めるものを含む。以下この号において同じ。）に係る同項第三号に掲げる取引又は同条第二十二項第二号に掲げる取引に係る同項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する同条第二十一項第二号又は第二十二項第二号に掲げる取引に係る取引契約金額を一特定有価証券当たりの権利行使約定数値（その取引の当事者の一方の意思表示により成立する取引に係る約定数値）で除して得た数量

(ii)　the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the transactions set forth in item (ii) of that paragraph (or an equivalent transaction that a Financial Instruments Exchange specifies; hereinafter the same applies in this item) or the transactions set forth in paragraph (22), item (iii) of that Article related the transaction set forth in item (ii) of that paragraph concerning Specified Securities:　the volume arrived at when the transaction contract value for the transactions set forth in paragraph (21), item (ii) or paragraph (22), item (ii) of that Article which are effected when the Options acquired or granted are exercised is divided by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure associated with a transaction which is established by a unilateral manifestation of intention by one of the parties to the transaction) for one Specified Security;

三　特定有価証券に係る法第二条第二十一項第四号又は第二十二項第五号に掲げる取引　当該取引に係る想定元本額を一特定有価証券当たりの時価額で除して得た数量

(iii)　the transactions set forth in Article 2, paragraph (21), item (iv) or paragraph (22), item (v) of the Act concerning Specified Securities:　the volume arrived at when the notional principal amount for the transaction is divided by the market value of one Specified Security;

四　特定有価証券に係る法第二条第二十一項第四号に掲げる取引に係る同項第三号に掲げる取引又は同条第二十二項第五号に掲げる取引に係る同項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する同条第二十一項第四号又は第二十二項第五号に掲げる取引に係る想定元本額を一特定有価証券当たりの時価額で除して得た数量

(iv)　the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the transactions set forth in item (iv) of that paragraph or the transactions set forth in paragraph (22), item (iii) of that Article related to the transactions set forth in item (v) of that paragraph concerning Specified Securities:　the volume arrived at when the notional principal amount for the transactions set forth in paragraph (21), item (iv) or paragraph (22), item (v) of that Article which are effected when the Options acquired or granted are exercised is divided by the market value of one Specified Security;

五　特定有価証券に係る法第二条第二十一項第五号又は第二十二項第六号に掲げる取引　当該取引に係る想定元本額を一特定有価証券当たりの時価額で除して得た数量

(v)　the transactions set forth in Article 2, paragraph (21), item (v) or paragraph (22), item (vi) of the Act concerning Specified Securities:　the volume arrived at when the notional principal amount is divided by the market value of one Specified Security;

六　特定有価証券に係る法第二条第二十一項第五号に掲げる取引に係る同項第三号に掲げる取引又は同条第二十二項第六号に掲げる取引に係る同項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する同条第二十一項第五号又は第二十二項第六号に掲げる取引に係る想定元本額を一特定有価証券当たりの時価額で除して得た数量

(vi)　the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the transactions set forth in item (v) of that paragraph or the transactions set forth in paragraph (22), item (iii) of that Article related to the transactions set forth in item (vi) of that paragraph concerning Specified Securities:　the volume arrived at when the notional principal amount for the transactions set forth in paragraph (21), item (v) or paragraph (22), item (vi) of that Article which are effected when the Options acquired or granted are exercised by the market value of one Specified Security;

七　特定有価証券に係る法第二条第二十二項第四号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する取引に係る想定元本額を一特定有価証券当たりの権利行使約定数値（その取引の当事者の一方の意思表示により成立する取引に係る約定数値）で除して得た数量

(vii)　the transactions set forth in Article 2, paragraph (22), item (iv) of the Act concerning Specified Securities:　the volume arrived at when the notional principal amount for the transaction which is effected when the Options acquired or granted are exercised is divided by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure associated with a transaction which is established by a unilateral manifestation of intention by one of the parties to the transaction) for one Specified Security;

八　関連有価証券に係る法第二条第二十一項第二号又は第二十二項第二号に掲げる取引　当該取引に係る取引契約金額を一関連有価証券当たりの約定数値（約定数値をその取引に係る想定関連有価証券数で除して得た数値）で除して得た数にその一関連有価証券当たりに表示されたオプション又は権利に係る特定有価証券の数量を乗じて得た数量

(viii)　the transactions set forth in Article 2, paragraph (21), item (ii) or paragraph (22), item (ii) of the Act concerning Related Securities:　the volume arrived at when the number arrived at when the transaction contract value for the transaction is divided by the Agreed Figure for one Related Security (the figure arrived at when the Agreed Figure is divided by the notional number of Related Securities involved in the transaction) is multiplied by the volume of Specified Securities associated with Options or rights indicated on the one Related Security;

九　関連有価証券に係る法第二条第二十一項第二号に掲げる取引（これに準ずる取引で金融商品取引所の定めるものを含む。以下この号において同じ。）に係る同項第三号に掲げる取引又は同条第二十二項第二号に掲げる取引に係る同項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する同条第二十一項第二号又は第二十二項第二号に掲げる取引に係る取引契約金額を一関連有価証券当たりの権利行使約定数値（その取引の当事者の一方の意思表示により成立する取引に係る約定数値）で除して得た数にその一関連有価証券当たりに表示されたオプション又は権利に係る特定有価証券の数量を乗じて得た数量

(ix)　the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the transactions set forth in item (ii) of that paragraph (or an equivalent transaction that a Financial Instruments Exchange specifies; hereinafter the same applies in this item) or the transactions set forth in paragraph (22), item (iii) of that Article related to the transactions set forth in item (ii) of that paragraph concerning Specified Securities:　the volume arrived at when the number arrived at when the transaction contract value for the transactions set forth in paragraph (21), item (ii) or paragraph (22), item (ii) of that Article which are effected when the Options acquired or granted are exercised is divided by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure in a transaction which is established by a unilateral manifestation of intention by one of the parties to the transaction) for one Related Security is multiplied by the volume of the Specified Securities related to the Options or rights indicated on the one Related Security;

十　関連有価証券に係る法第二条第二十一項第四号又は第二十二項第五号に掲げる取引　当該取引に係る想定元本額を一関連有価証券当たりの時価額で除して得た数にその一関連有価証券当たりに表示されたオプション又は権利に係る特定有価証券の数量を乗じて得た数量

(x)　the transactions set forth in Article 2, paragraph (21), item (iv) or paragraph (22), item (v) of the Act concerning Related Securities:　the volume arrived at when the number arrived at when the notional principal amount for the transaction is divided by the market value of one Related Security is multiplied by the volume of Specified Securities related to the Options or rights indicated on the one Related Security;

十一　関連有価証券に係る法第二条第二十一項第四号に掲げる取引に係る同項第三号に掲げる取引又は同条第二十二項第五号に掲げる取引に係る同項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する同条第二十一項第四号又は第二十二項第五号に掲げる取引に係る想定元本額を一関連有価証券当たりの時価額で除して得た数にその一関連有価証券当たりに表示されたオプション又は権利に係る特定有価証券の数量を乗じて得た数量

(xi)　the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the transactions set forth in item (iv) of that paragraph or the transactions set forth in paragraph (22), item (iii) of that Article related to the transactions set forth in item (v) of that paragraph concerning Related Securities:　the volume arrived at when the number arrived at when the notional principal amount for the transactions set forth in paragraph (21), item (iv) or paragraph (22), item (v) of that Article which are effected when the Options acquired or granted are exercised is divided by the Agreed Figure for Exercise of Rights for one Related Security, and the product is multiplied by the volume of the Specified Securities associated with the Options or rights indicated on that one Related Security;

十二　関連有価証券に係る法第二条第二十一項第五号又は第二十二項第六号に掲げる取引　当該取引に係る想定元本額を一関連有価証券当たりの時価額で除して得た数にその一関連有価証券当たりに表示されたオプション又は権利に係る特定有価証券の数量を乗じて得た数量

(xii)　the transactions set forth in Article 2, paragraph (21), item (v) or paragraph (22), item (vi) of the Act concerning Related Securities:　the volume arrived at when the number arrived at when the notional principal amount for the transaction is divided by the market value of one Related Security is multiplied by the volume of Specified Securities related to the Options or rights indicated on that one Related Security;

十三　関連有価証券に係る法第二条第二十一項第五号に掲げる取引に係る同項第三号に掲げる取引又は同条第二十二項第六号に掲げる取引に係る同項第三号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する同条第二十一項第五号又は第二十二項第六号に掲げる取引に係る想定元本額を一関連有価証券当たりの時価額で除して得た数にその一関連有価証券当たりに表示されたオプション又は権利に係る特定有価証券の数量を乗じて得た数量

(xiii)　the transaction set forth in Article 2, paragraph (21), item (iii) of the Act related to the transactions set forth in item (v) of that paragraph, or the transactions set forth in paragraph (22), item (iii) of that Article related to the transactions set forth in item (vi) of that paragraph concerning Related Securities:　the volume arrived at when the number arrived at when the notional principal amount for the transactions set forth in paragraph (21), item (v) or paragraph (22), item (vi) of that Article which are effected when the Options acquired or granted are exercised is divided by the market value of one Related Security is multiplied by the volume of the Specified Securities related to the Options or rights indicated on that one Related Security; and

十四　関連有価証券に係る法第二条第二十二項第四号に掲げる取引　取得し、又は付与したオプションが行使された場合に成立する取引に係る想定元本額を一関連有価証券当たりの権利行使約定数値（その取引の当事者の一方の意思表示により成立する取引に係る約定数値）で除して得た数にその一関連有価証券当たりに表示されたオプション又は権利に係る特定有価証券の数量を乗じて得た数量

(xiv)　the transactions set forth in Article 2, paragraph (22), item (iv) of the Act concerning Related Securities:　the volume arrived at when the number arrived at when the notional principal amount for the transaction effected when the Options acquired or granted are exercised is divided by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure associated with a transaction established by a unilateral manifestation of intention by one of the parties to the transaction) for one Related Security is multiplied by the volume of the Specified Securities related to the Options or rights indicated on that one Related Security.

一　特定有価証券に係る法第二条第二十一項第二号から第五号までに掲げる取引、同条第二十二項第二号から第六号までに掲げる取引又は外国市場デリバティブ取引（同条第二十一項第二号から第五号までに掲げる取引に類似するものに限る。）　当該役員又は主要株主の当該取引に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該役員又は主要株主が所有するものの額を当該取引をした日における一特定有価証券当たりの時価額で除して得た数量に次のイ及びロに掲げる数量を加えて得た数量からハ及びニに掲げる数量を控除して得た数量

(i)　the transactions set forth in Article 2, paragraph (21), item (ii) through item (v) of the Act, the transactions set forth in paragraph (22), item (ii) through item (vi) of that Article, or Foreign Market Derivatives Transactions (limited to the those similar to the transactions set forth in paragraph (21), item (ii) through item (v) of that Article) concerning Specified Securities: the volume arrived at when the volumes set forth in (c) and (d) are deducted from the volume arrived at when the volumes set forth in the following (a) and (b) are added to the volume arrived at when the amount of Specified Securities of the Listed Company, etc. owned by an officer or Major Shareholder which are of the same type as the Specified Securities subject to a transaction by the officer or Major Shareholder are divided by the market value of one Specified Security as of the day on which the transaction was made:

二　関連有価証券に係る法第二条第二十一項第二号から第五号までに掲げる取引、同条第二十二項第二号から第六号までに掲げる取引又は外国市場デリバティブ取引（同条第二十一項第二号から第五号までに掲げる取引に類似するものに限る。）　当該役員又は主要株主の当該取引に係る関連有価証券に表示されたオプション又は権利に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該役員又は主要株主が所有するものの額を当該取引をした日における一特定有価証券当たりの時価額で除して得た数量に前号イ及びロに掲げる数量を加えて得た数量から同号ハ及びニに掲げる数量を控除して得た数量

(ii)　the transactions set forth Article 2, paragraph (21), item (ii) through item (v) of the Act, the transactions set forth in paragraph (22), item (ii) through item (vi) of that Article, or Foreign Market Derivatives Transactions (limited to those similar to the transactions set forth in paragraph (21), item (ii) to item (v) of that Article), concerning Related Securities:　the volume arrived at when the volumes set forth in (c) and (d) of the preceding item are deducted from the volume arrived at when the volumes set forth in (a) and (b) of that item are added to the volume arrived at when the amount of the Specified Securities of the Listed Company, etc. owned by the relevant officer or Major Shareholder which are of the same type as the Specified Securities associated with the Options or rights indicated on the Related Securities subject to transaction by the officer or Major Shareholder is divided by the market value for one Specified Security as of the day on which the transaction was made.

一　信託の受託者に上場会社等の特定有価証券等に係る買付け等又は売付け等の指図を行う組合員

(i)　a partner that gives instructions for Purchases, etc. or Sales, etc. concerning Specified Securities of the Listed Company, etc. to the trustee of a trust; and

二　投資一任契約に基づき上場会社等の特定有価証券等に係る買付け等又は売付け等を行う場合における特定組合等の業務を執行する組合員

(ii)　a partner that executes the operations of Specified Partnerships, etc. where Purchases, etc. or Sales, etc. concerning Specified Securities, etc. of a Listed Company, etc. are exercised pursuant to a Discretionary Investment Contract.

一　会社法第百八十八条第一項に規定する一単元の株式の数に満たない数の株式のみに係る株券の買付け又は売付けをした場合

(i)　if the relevant person has conducted a purchase or sale of share certificates associated with shares of a number less than the one unit of shares prescribed in Article 188, paragraph (1) of the Companies Act;

二　特定組合等（当該特定組合等の組合員の全員が上場会社等の役員又は従業員（当該上場会社等が他の会社を直接又は間接に支配している場合における当該他の会社の役員又は従業員を含む。以下この号において同じ。）であり、共同して当該上場会社等の株券の買付けを行うことを約する契約に基づくものに限る。次号において同じ。）の組合員が当該上場会社等の株券の買付けを行った場合（当該上場会社等が会社法第百五十六条第一項（同法第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定に基づき買い付けていた株券以外のものを買い付けたときは、金融商品取引業者に委託等をして行った場合に限る。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各役員又は従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(ii)　if a partner of a Specified Partnership, etc. (but only if all of that Specified Partnership's, etc. partners are officers or employees of a Listed Company, etc. (or the officers or employees of a second company that a Listed Company, etc. controls directly or indirectly; hereinafter the same applies in this item) and that Specified Partnership, etc. is based on a contract under which they agree to jointly purchase share certificates of the Listed Company, etc.; the same applies in the following item) has purchased share certificates of the Listed Company, etc. (but only if that partner has purchased these by Entrusting, etc. a Financial Instruments Business Operator, etc. with doing so, in the event that the purchase is of share certificates other than those that the Listed Company, etc. has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Articles 165, paragraph (3) of that Act)) and those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each officer or employee is to contribute less than one million yen per occasion; the same applies in the following item);

三　特定組合等の組合員が信託業を営む者と信託財産を当該上場会社等の株券に対する投資として運用することを目的とする信託契約を締結し、当該信託業を営む者が当該特定組合等の組合員の指図に基づき当該上場会社等の株券の買付けを行った場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（当該特定組合等の組合員を委託者とする信託財産と他の特定組合等の組合員を委託者とする信託財産とが合同して運用される場合に限る。）

(iii)　if a partner of a Specified Partnership, etc. has concluded a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates of the relevant Listed Company, etc. and the person engaged in Trust Business has purchased share certificates of the Listed Company, etc. according to the instructions from the partner of a Specified Partnership, etc., and those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the trust property for which the settlor is the partner of the Specified Partnership, etc. and the trust property for which the settlor is another partner of the Specified Partnership, etc. are jointly invested);

四　特定組合等（当該特定組合等の組合員の全員が上場会社等の関係会社の従業員であり、共同して当該上場会社等の株券の買付けを行うことを約する契約に基づくものに限る。次号において同じ。）の組合員が当該上場会社等の株券の買付けを金融商品取引業者に委託等をして行った場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(iv)　if a partner of a Specified Partnership, etc. (but only if all of the Specified Partnership's, etc. partners are employees of an Associated Company of a Listed Company, etc. and the Specified Partnership, etc. is based on a contract under which they agree to jointly purchase share certificates of the Listed Company, etc.; the same applies in the following item) has purchased share certificates of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator, etc. with doing so and those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each employee is to contribute less than one million yen per occasion; the same applies in the following item);

五　特定組合等の組合員が信託業を営む者と信託財産を当該上場会社等の株券に対する投資として運用することを目的とする信託契約を締結し、当該信託業を営む者が当該特定組合等の組合員の指図に基づき当該上場会社等の株券の買付けを行った場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（当該特定組合等の組合員を委託者とする信託財産と他の特定組合等の組合員を委託者とする信託財産とが合同して運用される場合に限る。）

(v)　if a partner of a Specified Partnership, etc. has concluded a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates of a Listed Company, etc. and the person engaged in Trust Business has purchased share certificates of the Listed Company, etc. according to the instructions from the partner of the Specified Partnership, etc., and those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the trust property for which the settlor is the partner of the Specified Partnership, etc. and the trust property for which the settlor is another partner of the Specified Partnership, etc. are jointly invested);

六　特定組合等（当該特定組合等の組合員の全員が上場会社等の取引関係者（当該上場会社等の指定する当該上場会社等と取引関係にある者（法人その他の団体にあってはその役員を含み、個人にあってはその事業に関して当該上場会社等と取引関係にある場合に限る。）をいう。以下この号において同じ。）であり、共同して当該上場会社等の株券の買付けを行うことを約する契約に基づくものに限る。）の組合員が当該上場会社等の株券の買付けを金融商品取引業者に委託等をして行った場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各取引関係者の一回当たりの拠出金額が百万円に満たない場合に限る。）

(vi)　if a partner of a Specified Partnership, etc. (but only if all partners of the Specified Partnership, etc. are Persons Who Have a Transaction Relationship with a Listed Company, etc. (meaning a person that has a transaction relationship with a Listed Company, etc. as designated by the Listed Company, etc. (or that person's officers, if the person is a corporation or any other type of organization; if the person is an individual, this applies only if that individual has a transaction relationship with the Listed Company, etc. in connection with that individual's business); hereinafter the same applies in this item) and that Specified Partnership, etc. is based on a contract under which they agree to jointly purchase share certificates of the Listed Company, etc.) has purchased share certificates of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator, etc. with doing so, and those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each Person Who Has a Transaction Relationship is to contribute less than one million yen per occasion);

七　累積投資契約により上場会社等の株券（優先出資証券を含む。）の買付けが金融商品取引業者に委託等をして行われた場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われたものと認められる場合（各顧客の一銘柄に対する払込金額が一月当たり百万円に満たない場合に限る。）

(vii)　if share certificates (or Preferred Equity Investment Certificates) of a Listed Company, etc. have been purchased by a person's Entrusting, etc. a Financial Instruments Business Operator with doing so pursuant to a Contract for Cumulative Investment, and those purchases are found to have been made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the amount to be paid in for one issue by each customer is to be less than one million yen per month);

八　金融商品取引所で行われる銘柄の異なる複数の株券の集合体を対象とする法第二条第二十一項第一号に掲げる取引を行った場合

(viii)　if the transactions set forth in Article 2, paragraph (21), item (i) of the Act concerning an aggregate of two or more share certificates of different issues to be conducted on a Financial Instruments Exchange is conducted;

九　法第百五十九条第三項に規定する政令で定めるところにより特定有価証券の売買をした場合

(ix)　if the purchase and sale of Specified Securities as specified by Cabinet Order as prescribed in Article 159, paragraph (3) of the Act is conducted;

十　特定組合等の組合員が、上場会社等の発行する特定有価証券等のうち次のいずれかに該当するものに係る買戻条件付売買であって買戻価格があらかじめ定められているものを行う場合（当該特定組合等の組合員が専ら当該特定組合等の資金調達のために行う場合に限る。）

(x)　if a partner of a Specified Partnership, etc. makes a purchase and sale on condition of repurchase for which the repurchase price is set in advance associated with the Specified Securities, etc. issued by a Listed Company, etc. which fall under any of the following Securities (limited to those conducted by the partner of the Specified Partnership, etc. solely for fund procurement of the Specified Partnership, etc.):

十一　会社法第二百三十八条第一項に規定する募集新株予約権を取得した場合

(xi)　if the share options for subscription prescribed in Article 238, paragraph (1) of the Companies Act are acquired;

十二　新株予約権を有する者が当該新株予約権を行使することにより株券の買付けを行った場合

(xii)　if a person that holds share options has purchased share certificates by exercising the share options;

十三　特定有価証券等に係る法第二条第二十一項第四号又は第二十二項第五号に掲げる取引を行った場合

(xiii)　if the transactions set forth in Article 2, paragraph (21), item (iv) or paragraph (22), item (v) of the Act concerning Specified Securities, etc. are conducted.

一　特定有価証券等の売付け等（売買合致数量に係るものに限る。）の価額

(i)　the Value of Sales, etc. of Specified Securities, etc. (limited to those associated with the Matched Trading Volume);

二　特定有価証券等の買付け等（売買合致数量に係るものに限る。）の価額

(ii)　the Value of Purchase, etc. of Specified Securities, etc. (limited to those associated with the Matched Trading Volume).

一　特定有価証券の売付け　当該特定組合等の組合員の売付けに係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって、当該特定組合等の組合員が所有するものの額に次のイからトまでに掲げる額を加えた額からチからワまでに掲げる額を控除した額

(i)　the sale of Specified Securities: the amount arrived at when the amounts set forth in (h) through (m) are deducted from the amount arrived at when the amounts set forth in the following (a) through (g) are added to the amount of Specified Securities of the Listed Company, etc. owned by the relevant partner of a Specified Partnership, etc. which are of the same type as the Specified Securities subject to sale by the partner of a Specified Partnership, etc.:

二　関連有価証券の売付け又は売方関連有価証券の買付け　当該特定組合等の組合員の売付けに係る関連有価証券又は買付けに係る売方関連有価証券に表示されたオプション又は権利に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該特定組合等の組合員が所有するものの額に前号イからトまでに掲げる額を加えた額から同号チからワまでに掲げる額を控除した額

(ii)　the sale of Related Securities or the purchase of Seller-Related Securities:　the amount arrived at when the amounts set forth in (h) through (m) of the preceding item are deducted from the amount arrived at when the amounts set forth in (a) through (g) of that item are added to the amount of Specified Securities of the Listed Company, etc. owned by the relevant partner of the Specified Partnership, etc. which are of the same type as the Specified Securities associated with the Options or rights indicated on the Related Securities subject to sale or on the Seller-Related Securities subject to purchase by the partner of the Specified Partnership, etc.;

三　特定有価証券の売買に係る法第二条第二十一項第三号又は第二十二項第三号に掲げる取引　当該特定組合等の組合員の取得し、又は付与したオプションが行使された場合に成立する売買に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該特定組合等の組合員が所有するものの額に第一号イからトまでに掲げる額を加えた額から同号チからワまでに掲げる額を控除した額

(iii)　the transactions set forth in Article 2, paragraph (21), item (iii) or paragraph (22), item (iii) of the Act subject to the purchase and sale of Specified Securities:　the amount arrived at when the amounts set forth in (h) through (m) of item (i) are deducted from the amount arrived at when the amounts set forth in (a) through (g) of that item are added to the amount of Specified Securities of the Listed Company, etc. owned by the relevant partner of the Specified Partnership, etc. which are of the same type as the Specified Securities subject to the purchase and sale effected when the Options acquired or granted are exercised;

四　関連有価証券又は売方関連有価証券の売買に係る法第二条第二十一項第三号若しくは第二十二項第三号に掲げる取引　当該特定組合等の組合員の取得し、又は付与したオプションが行使された場合に成立する売買に係る関連有価証券又は売方関連有価証券に表示されたオプション又は権利に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該特定組合等の組合員が所有するものの額に第一号イからトまでに掲げる額を加えた額から同号チからワまでに掲げる額を控除した額

(iv)　the transactions set forth in Article 2, paragraph (21), item (iii) or paragraph (22), item (iii) of the Act related to the purchase and sale of Related Securities or Seller-Related Securities:　the amount arrived at when the amounts set forth in (h) through (m) of item (i) from the amount arrived at when the amounts set forth in (a) through (g) of that item are added to the amount of Specified Securities of the Listed Company, etc. owned by the relevant partner of the Specified Partnership, etc. which are of the same type as the Specified Securities associated with the Options or rights indicated on the Related Securities or on the Seller-Related Securities subject to the purchase and sale effected when the Options acquired or granted are exercised.

一　特定有価証券に係る法第二条第二十一項第二号から第五号までに掲げる取引、同条第二十二項第二号から第六号までに掲げる取引又は外国市場デリバティブ取引（同条第二十一項第二号から第五号までに掲げる取引に類似するものに限る。）　当該特定組合等の組合員の当該取引に係る特定有価証券と同じ種類の上場会社等の特定有価証券であって当該特定組合等の組合員が所有するものの額を当該取引をした日における一特定有価証券当たりの時価額で除して得た数量に次のイ及びロに掲げる数量を加えて得た数量からハ及びニに掲げる数量を控除して得た数量

(i)　the transactions set forth in Article 2, paragraph (21), item (ii) through item (v) of the Act, the transactions set forth in paragraph (22), item (ii) through item (vi) of that Article, or Foreign Market Derivatives Transactions (limited those similar to the transactions set forth in paragraph (21), item (ii) through item (v) of that Article) concerning Specified Securities: the volume arrived at when the volumes set forth in (c) and (d) are deducted from the volume arrived at when the volumes set forth in the following (a) and (b) are added to the volume arrived at when the amount of Specified Securities of the Listed Company, etc. owned by the relevant partner of the Specified Partnership, etc. which are of the same type as the Specified Securities subject to transaction by the relevant partner of the Specified Partnership, etc. is divided by the market value of one Specified Security as of the day on which the transaction was made:

二　関連有価証券に係る法第二条第二十一項第二号から第五号までに掲げる取引、同条第二十二項第二号から第六号までに掲げる取引又は外国市場デリバティブ取引（同条第二十一項第二号から第五号までに掲げる取引に類似するものに限る。）　当該特定組合等の組合員の当該取引に係る関連有価証券に表示されたオプション又は権利に係る特定有価証券と同じ種類の当該上場会社等の特定有価証券であって当該特定組合等の組合員が所有するものの額を当該取引をした日における一特定有価証券当たりの時価額で除して得た数量に前号イ及びロに掲げる数量を加えて得た数量から同号ハ及びニに掲げる数量を控除して得た数量

(ii)　the transactions set forth in Article 2, paragraph (21), item (ii) through item (v) of the Act, the transactions set forth in paragraph (22), item (ii) through item (vi) of that Article, or Foreign Market Derivatives Transactions (limited those similar to the transactions set forth in paragraph (21), item (ii) through item (v) of that Article) concerning Related Securities:　the volume arrived at when the volume set forth in (c) and (d) of the preceding item is deducted from the volume arrived at when the volume set forth in (a) and (b) of that item is added to the volume arrived at when the amount of the Specified Securities of the Listed Company, etc. owned by the relevant partner of the Specified Partnership, etc. which are of the same type as the Specified Securities related to the Options or rights indicated on the Related Securities subject to transaction by the partner of the Specified Partnership, etc. is divided by the market value of one Specified Security as of the day on which the transaction was made.

一　法第百六十六条第二項第一号イに掲げる事項　次に掲げるもののいずれかに該当すること。

(i)　the particulars set forth in Article 166, paragraph (2), item (i), (a) of the Act: that the solicitation falls under any of the following:

二　法第百六十六条第二項第一号ホに掲げる事項　次に掲げるもののいずれかに該当すること。

(ii)　the particulars set forth in Article 166, paragraph (2), item (i), (e) of the Act: that the allotment falls under any of the following:

三　法第百六十六条第二項第一号ヘに掲げる事項　株式（優先出資を含む。以下この号において同じ。）の分割により一株（優先出資にあっては、一口）に対し増加する株式の数の割合が〇・一未満であること。

(iii)　the particulars set forth in Article 166, paragraph (2), item (i), (f) of the Act:　that the ratio of the number of shares increased per share (or per unit, for Preferred Equity Investment) through a split of shares (or of Preferred Equity Investment; hereinafter the same applies in this item) is less than 0.1;

四　法第百六十六条第二項第一号トに掲げる事項　一株又は一口当たりの剰余金の配当の額をそれぞれ前事業年度の対応する期間に係る一株又は一口当たりの剰余金の配当の額で除して得た数値が〇・八を超え、かつ、一・二未満であること。

(iv)　the particulars set forth in Article 166, paragraph (2), item (i), (g) of the Act:　that the figure arrived at when the amount of dividend of surplus per share or per unit is divided by the amount of dividend of surplus per share or per unit associated with the period that corresponds to each of their preceding business years is more than 0.8 and less than 1.2;

五　法第百六十六条第二項第一号チに掲げる事項　株式交換完全親会社（会社法第七百六十七条に規定する株式交換完全親会社をいう。第五十五条の五第一項第二号において同じ。）となる会社にあって、次に掲げるもののいずれかに該当すること。

(v)　the particulars set forth in Article 166, paragraph (2), item (i), (h) of the Act: that in cases of a company which is to become a Wholly Owning Parent Company in Share Exchange (meaning a Wholly Owning Parent Company in Share Exchange as prescribed in Article 767 of the Companies Act; the same applies in Article 55-5, paragraph (1), item (ii)), the share exchange falls under either of the following:

六　法第百六十六条第二項第一号ヌに掲げる事項　次に掲げるもののいずれかに該当すること。

(vi)　the particulars set forth in Article 166, paragraph (2), item (i), (j) of the Act: that the merger falls under either of the following:

七　法第百六十六条第二項第一号ルに掲げる事項　次に掲げるもののいずれかに該当すること。

(vii)　the particulars set forth in Article 166, paragraph (2), item (i), (k) of the Act: that the company split falls under either of the following:

八　法第百六十六条第二項第一号ヲに掲げる事項　次に掲げるもののいずれかに該当すること。

(viii)　the particulars set forth in Article 166, paragraph (2), item (i), (l) of the Act: that the transfer or acquisition of transfer of business in whole or in part falls under any of the following:

九　法第百六十六条第二項第一号カに掲げる事項　新製品の販売又は新技術を利用する事業の開始予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該新製品又は新技術の企業化による会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。以下この号において同じ。）の売上高の増加額が当該会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれ、かつ、当該新製品の販売又は新技術を利用する事業の開始のために特別に支出する額の合計額が当該会社の最近事業年度の末日における固定資産の帳簿価額の百分の十に相当する額未満であると見込まれること。

(ix)　the particulars set forth in Article 166, paragraph (2), item (i), (n) of the Act:　that in each business year commencing within three years after the first day of the business year that includes the scheduled commencement date of sales of new products or of business which uses new technology, the amount of increase in net sales of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.; hereinafter the same applies in this item) as a result of commercialization of the new products or new technology is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the company, and the total amount of expenditures specially for the commencement of the sales of new products or business using new technology is expected to be less than an amount equivalent to 10 percent of the book value of the Fixed Assets as of the last day of the latest business year of the company;

十　令第二十八条第一号に掲げる事項　次に掲げるもののいずれかに該当すること。

(x)　the particulars set forth in Article 28, item (i) of the Order: that the business alliance or cancellation of a business alliance falls under either of the following:

十一　令第二十八条第二号に掲げる事項　次に掲げる子会社（令第二十九条第八号に規定する特定の子会社（以下「連動子会社」という。）を除く。）の異動を伴うものであること。

(xi)　the particulars set forth in Article 28, item (ii) of the Order: that the transfer or acquisition of shares or equity involving any changes in a Subsidiary Company is the transfer or acquisition of shares or equity involving changes in the following Subsidiary Companies (excluding the specific subsidiary company prescribed in Article 29, item (viii) of the Order (hereinafter referred to as a "Linked Subsidiary Company")):

十二　令第二十八条第三号に掲げる事項　次に掲げるもののいずれかに該当すること。

(xii)　the particulars set forth in Article 28, item (iii) of the Order: that the transfer or acquisition of Fixed Assets falls under either of the following:

十三　令第二十八条第四号に掲げる事項　事業の全部又は一部の休止又は廃止の予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該休止又は廃止による会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。以下この号において同じ。）の売上高の減少額が当該会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(xiii)　the particulars set forth in Article 28, item (iv) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the scheduled date of suspension or closure of business in whole or in part, the amount of decrease in net sales of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.; hereinafter the same applies in this item) as a result of the suspension or closure is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the company;

十四　令第二十八条第九号に掲げる事項　新たな事業の開始（新商品の販売又は新たな役務の提供の企業化を含む。以下この号並びに第五十二条第一項第十一号及び第二項第十一号において同じ。）の予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該新たな事業の開始による会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。以下この号において同じ。）の売上高の増加額が当該会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれ、かつ、当該新たな事業の開始のために特別に支出する額の合計額が当該会社の最近事業年度の末日における固定資産の帳簿価額の百分の十に相当する額未満であると見込まれること。

(xiv)　the particulars set forth in Article 28, item (ix) of the Order:　that in each business year commencing within three years from the day of commencement of the business year that includes the scheduled date of the commencement of a new business (or the commercialization of sales of new products or of the provision of new services; hereinafter the same applies in this item and Article 52, paragraph (1), item (xi) and paragraph (2), item (xi)), the amount of increase in net sales of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.; hereinafter the same applies in this item) as a result of the commencement of a new business is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the company, and the total amount of special expenditures for the commencement of a new business is expected to be less than an amount equivalent to 10 percent of the book value of the Fixed Assets as of the last day of the latest business year of the company.

一　法第百六十六条第二項第二号イに掲げる事実　災害若しくは業務に起因する損害又は業務遂行の過程で生じた損害の額が会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。）の最近事業年度の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(i)　the fact set forth in Article 166, paragraph (2), item (ii), (a) of the Act:　that the amount of damage arising from a disaster or in the course of performing operations is expected to be less than an amount equivalent to three percent of the Amount of Net Assets of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.) as of the last day of the latest business year;

二　法第百六十六条第二項第二号ハに掲げる事実　法第二条第一項第五号に掲げる有価証券又は優先株（剰余金の配当に関し優先的内容を有する種類の株式をいう。以下この号及び第十号において同じ。）に係る上場の廃止又は登録の取消しの原因となる事実（優先株以外の株券及び優先出資証券の上場廃止の原因となる事実を除く。）が生じたこと。

(ii)　the fact set forth in Article 166, paragraph (2), item (ii), (c) of the Act:　that a fact that may be a grounds for delisting or recession of registration of Securities or Preferred Shares (meaning the type of shares which have a precedence on a dividend of surplus; hereinafter the same applies in this item and item (x)) as set forth in Article 2, paragraph (1), item (v) of the Act (excluding a fact which may be a grounds for delisting of share certificates other than Preferred Shares and Preferred Equity Investment Certificates) has occurred;

三　令第二十八条の二第一号に掲げる事実　次に掲げるもののいずれかに該当すること。

(iii)　the fact set forth in Article 28-2, item (i) of the Order: that the fact falls under either of the following:

四　令第二十八条の二第二号に掲げる事実　次に掲げるもののいずれかに該当すること。

(iv)　the fact set forth in Article 28-2, item (ii) of the Order: that the fact falls under either of the following:

五　令第二十八条の二第三号に掲げる事実　法令に基づく処分を受けた日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該処分による会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。以下この号において同じ。）の売上高の減少額が当該会社最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(v)　the fact set forth in Article 28-2, item (iii) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the day of disposition under laws and regulations, the amount of reduction in net sales of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.; hereinafter the same applies in this item) as a result of a disposition under laws and orders is expected to be less than an amount equivalent to 10 percent of the amount of the net sales in the latest business year of the company;

六　令第二十八条の二第八号に掲げる事実　売掛金、貸付金その他の債権又は求償権について債務の不履行のおそれのある額が会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。）の最近事業年度の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(vi)　the fact set forth in Article 28-2, item (viii) of the Order:　that the amount for which there is a risk of default with regard to accounts receivable, loaned money, any other claims, or the rights to obtain reimbursement is expected to be less than an amount equivalent to three percent of the Amount of Net Assets of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.) as of the last day of the latest business year;

七　令第二十八条の二第九号に掲げる事実　主要取引先（同号に規定する主要取引先をいう。第五十三条第一項第六号及び同条第二項第六号において同じ。）との取引の停止の日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該取引の停止による会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。以下この号において同じ。）の売上高の減少額が当該会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(vii)　the fact set forth in Article 28-2, item (ix) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the date of suspension of a transaction with a Major Trading Partner (meaning a Major Trading Partner as prescribed in that item; the same applies in Article 53, paragraph (1), item (vi) and paragraph (2), item (vi)), the amount of reduction in net sales of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.; hereinafter the same applies in this item) as a result of the suspension of the transaction is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the company;

八　令第二十八条の二第十号に掲げる事実　債務の免除の額又は債務の引受け若しくは弁済の額が会社（協同組織金融機関を含み、特定上場会社等である場合にあっては、会社の属する企業集団とする。）の最近事業年度の末日における債務の総額の百分の十に相当する額未満であること。

(viii)　the fact set forth in Article 28-2, item (x) of the Order:　that the amount of exemption from obligation or the amount of assumption or performance of obligations is to be less than an amount equivalent to 10 percent of the total amount of obligations of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.) as of the last day of the latest business year;

九　令第二十八条の二第十一号に掲げる事実　発見された資源の採掘又は採取を開始する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該資源を利用する事業による会社（特定上場会社等である場合にあっては、会社の属する企業集団。以下この号において同じ。）の売上高の増加額が当該会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(ix)　the fact set forth in Article 28-2, item (xi) of the Order:　that in each business year commencing within three years after the first day of the business year in which mining or collection of a discovered resource is commenced, the amount of increase in net sales of the company (or the Cooperative Structured Financial Institution; this means the Corporate Group to which the company belongs, if that company is a specified Listed Company, etc.; hereinafter the same applies in this item) as a result of business using the resource is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the company; and

十　令第二十八条の二第十二号に掲げる事実　優先株に係る取扱有価証券としての指定（認可金融商品取引業協会がその規則により有価証券を取扱有価証券とすることをいう。以下この号において同じ。）の取消しの原因となる事実（優先株以外の株券の取扱有価証券としての指定の取消しの原因となる事実を除く。）が生じたこと。

(x)　the fact set forth in Article 28-2, item (xii) of the Order:　that a fact which is a cause for rescission of the Designation as Tradable Securities (meaning the designation of Securities as Tradable Securities by an Authorized Financial Instruments Firms Association pursuant to its rules; hereinafter the same applies in this item) associated with Preferred Stocks (excluding facts which are a cause for rescission of the Designation as Tradable Securities of share certificates other than Preferred Stock) has occurred.

一　売上高　新たに算出した予想値又は当事業年度の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）で除して得た数値が一・一以上又は〇・九以下であること。

(i)　net sales:　that the figure arrived at when the newly prepared forecast or the numbers in the settlement of accounts for the business year are multiplied by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is either 1.1 or greater or 0.9 or lower;

二　経常利益　新たに算出した予想値又は当事業年度の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）で除して得た数値が一・三以上又は〇・七以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前事業年度の実績値が零の場合はすべてこの基準に該当することとする。）であり、かつ、新たに算出した予想値又は当事業年度の決算における数値と公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）とのいずれか少なくない数値から他方を減じて得たものを前事業年度の末日における純資産額と資本金の額とのいずれか少なくない金額で除して得た数値が百分の五以上であること。

(ii)　current profits:　that the figure arrived at when the newly prepared forecasts or the numbers in the settlement of accounts for the relevant business year are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is either 1.3 or greater or 0.7 or less (all cases in which the latest published forecasts or the results of the preceding business year which have been published for lack of relevant forecasts are zero fall under this criteria); and either that when whichever is greater, the newly prepared forecasts or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) are deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 5 percent or that when whichever is greater, the numbers in the settlement of accounts for the relevant business year or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) are deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 5 percent;

三　純利益　新たに算出した予想値又は当事業年度の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）で除して得た数値が一・三以上又は〇・七以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前事業年度の実績値が零の場合はすべてこの基準に該当することとする。）であり、かつ、新たに算出した予想値又は当事業年度の決算における数値と公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）とのいずれか少なくない数値から他方を減じて得たものを前事業年度の末日における純資産額と資本金の額とのいずれか少なくない金額で除して得た数値が百分の二・五以上であること。

(iii)　net profit:　that the figure arrived at when the newly prepared forecasts or the numbers in the settlement of accounts for the relevant business year are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is either 1.3 or greater or 0.7 or less (all cases in which the latest published forecasts or the results of the preceding business year which have been published for lack of relevant forecasts are zero fall under this criteria); and either that when whichever is greater, the newly prepared forecasts or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 2.5 percent; or that when whichever is greater, the numbers in the settlement of accounts for the relevant business year or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 2.5 percent;

四　剰余金の配当　新たに算出した予想値又は当事業年度の決算における数値（決算によらないで確定した数値を含む。）を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の対応する期間に係る剰余金の配当の実績値）で除して得た数値が一・二以上又は〇・八以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前事業年度の実績値が零の場合はすべてこの基準に該当することとする。）であること。

(iv)　dividend of surplus:　that the figure arrived at when the newly prepared forecast or the numbers in the settlement of account for the business year (or a figure fixed not through the settlement of accounts) are divided by the latest published forecasts (or, if there are no such forecasts, the published results of the dividend of surplus for the period corresponding to the preceding business year) is either 1.2 or greater or 0.8 or less (all cases in which the latest published forecasts or the results of the preceding business year which have been published for lack of relevant forecasts are zero fall under this criteria).

一　法第百六十六条第二項第五号イに掲げる事項　次に掲げるもののいずれかに該当すること。

(i)　the particulars set forth in Article 166, paragraph (2), item (v), (a) of the Act: that the share exchange falls under either of the following:

二　法第百六十六条第二項第五号ロに掲げる事項　次に掲げるもののいずれかに該当すること。

(ii)　the particulars set forth in Article 166, paragraph (2), item (v), (b) of the Act: that the share transfer falls under either of the following:

三　法第百六十六条第二項第五号ハに掲げる事項　次に掲げるもののいずれかに該当すること。

(iii)　the particulars set forth in Article 166, paragraph (2), item (v), (c) of the Act: that the merger falls under either of the following:

四　法第百六十六条第二項第五号ニに掲げる事項　次に掲げるもののいずれかに該当すること。

(iv)　the particulars set forth in Article 166, paragraph (2), item (v), (d) of the Act: that the company split falls under either of the following:

五　法第百六十六条第二項第五号ホに掲げる事項　次に掲げるもののいずれかに該当すること。

(v)　the particulars set forth in Article 166, paragraph (2), item (v), (e) of the Act: that the transfer or acceptance of transfer of business in whole or in part falls under either of the following:

五の二　法第百六十六条第二項第五号ヘに掲げる事項　解散（合併による解散を除く。以下この号及び次項第五号の二において同じ。）による当該上場会社等の属する企業集団の資産の減少額が当該企業集団の最近事業年度の末日における純資産額の百分の三十に相当する額未満であると見込まれ、かつ、当該解散の予定日の属する当該企業集団の事業年度及び翌事業年度の各事業年度においていずれも当該解散による当該企業集団の売上高の減少額が当該企業集団の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(v)-2　the particulars set forth in Article 166, paragraph (2), item (v), (f) of the Act:　that the amount of decrease in the assets of the Corporate Group to which the relevant Listed Company, etc. belongs as a result of a dissolution (excluding dissolution as a result of merger; hereinafter the same applies in this item and item (v)-2 of the following paragraph) is expected to be less than an amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the latest business year of the Corporate Group, and both in the business year of the Corporate Group that includes the scheduled date of the dissolution and in the following business year, the amount of decrease in the net sales of the Corporate Group as a result of the dissolution is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Corporate Group;

六　法第百六十六条第二項第五号トに掲げる事項　新製品の販売又は新技術を利用する事業の開始予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該新製品又は新技術の企業化による当該上場会社等の属する企業集団の売上高の増加額が当該企業集団の最近事業年度の売上高の百分の十に相当する額未満であると見込まれ、かつ、当該新製品の販売又は新技術を利用する事業の開始のために特別に支出する額の合計額が当該企業集団の最近事業年度の末日における固定資産の帳簿価額の百分の十に相当する額未満であると見込まれること。

(vi)　the particulars set forth in Article 166, paragraph (2), item (v), (g) of the Act:　that in each business year commencing within three years after the first day of the business year that includes the scheduled commencement date of sales of new products or business which uses new technology, the amount of increase in net sales of the Corporate Group to which the Listed Company, etc. belongs as a result of commercialization of new products or new technology is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Corporate Group, and the total amount of special expenditures for the commencement of sales of new products or business which uses new technology is expected to be less than an amount equivalent to 10 percent of the book value of the Fixed Assets as of the last day of the latest business year of the Corporate Group;

七　令第二十九条第一号に掲げる事項　次に掲げるもののいずれかに該当すること。

(vii)　the particulars set forth in Article 29, item (i) of the Order: that the business alliance or cancellation of a business alliance falls under any of the following:

八　令第二十九条第二号に掲げる事項　次に掲げる孫会社の異動を伴うものであること。

(viii)　the particulars set forth in Article 29, item (ii) of the Order: that the transfer or acquisition of shares or equity involving changes in a Subsidiary Company is the one which involves changes in the following Second-Tier Subsidiary Companies:

九　令第二十九条第三号に掲げる事項　固定資産の譲渡又は取得による当該上場会社等の属する企業集団の資産の減少額又は増加額が当該企業集団の最近事業年度の末日における純資産額の百分の三十に相当する額未満であると見込まれること。

(ix)　the particulars set forth in Article 29, item (iii) of the Order:　that the amount of decrease or increase in the assets of the Corporate Group to which the relevant Listed Company, etc. belongs as a result of transfer or acquisition of Fixed Assets is expected to be less than an amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the latest business year of the Corporate Group;

十　令第二十九条第四号に掲げる事項　事業の全部又は一部の休止又は廃止の予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該休止又は廃止による当該上場会社等の属する企業集団の売上高の減少額が当該企業集団の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(x)　the particulars set forth in Article 29, item (iv) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the scheduled date of suspension or closure of business in whole or in part, the amount of decrease in net sales of the Corporate Group to which the Listed Company, etc. belongs as a result of the suspension or closure is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Corporate Group;

十一　令第二十九条第六号に掲げる事項　新たな事業の開始の予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該新たな事業の開始による当該上場会社等の属する企業集団の売上高の増加額が当該企業集団の最近事業年度の売上高の百分の十に相当する額未満であると見込まれ、かつ、当該新たな事業の開始のために特別に支出する額の合計額が当該企業集団の最近事業年度の末日における固定資産の帳簿価額の百分の十に相当する額未満であると見込まれること。

(xi)　the particulars set forth in Article 29, item (vi) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the scheduled date of commencement of new business, the amount of increase in net sales of the Corporate Group to which the Listed Company, etc. belongs as a result of the commencement of new business is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Corporate Group, and that the total amount of special expenditures for the commencement of the new business is expected to be less than an amount equivalent to 10 percent of the book value of the Fixed Assets as of the last day of the latest business year of the Corporate Group; and

十二　令第二十九条第八号に掲げる事項　子会社連動株式（同号に規定するその剰余金の配当が特定の子会社の剰余金の配当に基づき決定される旨が当該上場会社等の定款で定められた株式をいう。以下同じ。）以外の特定有価証券等に係る売買等（法第百六十六条第一項に規定する売買等をいう。以下この章において同じ。）を行う場合における連動子会社の剰余金の配当についての決定をしたこと。

(xii)　the particulars set forth in Article 29, item (viii) of the Order:　that the relevant person, having made a decision regarding the dividend of surplus of a Linked Subsidiary Company, will make a Purchase and Sale, etc. (meaning a Purchase and Sale, etc. prescribed in Article 166, paragraph (1) of the Act; hereinafter the same applies in this Chapter) involving Specified Securities, etc. other than Subsidiary Linked Shares (meaning the shares specified in the articles of incorporation of the relevant Listed Company, etc. for which the dividend of surplus prescribed in Article 29, item (viii) of the Order is decided based on the dividend of surplus of a specific Subsidiary Company; the same applies hereinafter).

一　法第百六十六条第二項第五号イに掲げる事項　次に掲げるもののいずれかに該当すること。

(i)　the particulars set forth in Article 166, paragraph (2), item (v), (a) of the Act: that the share exchange falls under either of the following:

二　法第百六十六条第二項第五号ロに掲げる事項　次に掲げるもののいずれかに該当すること。

(ii)　the particulars set forth in Article 166, paragraph (2), item (v), (b) of the Act: that the share transfer falls under either of the following:

三　法第百六十六条第二項第五号ハに掲げる事項　次に掲げるもののいずれかに該当すること。

(iii)　the particulars set forth in Article 166, paragraph (2), item (v), (c) of the Act: that the merger falls under either of the following:

四　法第百六十六条第二項第五号ニに掲げる事項　次に掲げるもののいずれかに該当すること。

(iv)　the particulars set forth in Article 166, paragraph (2), item (v), (d) of the Act: that the company split falls under either of the following:

五　法第百六十六条第二項第五号ホに掲げる事項　次に掲げるもののいずれかに該当すること。

(v)　the particulars set forth in Article 166, paragraph (2), item (v), (e) of the Act: that the transfer or acceptance of transfer of business in whole or in part falls under either of the following:

五の二　法第百六十六条第二項第五号ヘに掲げる事項　解散による当該連動子会社の資産の減少額が当該連動子会社の最近事業年度の末日における純資産額の百分の三十に相当する額未満であると見込まれ、かつ、当該解散の予定日の属する当該連動子会社の事業年度及び翌事業年度の各事業年度においていずれも当該解散による当該連動子会社の売上高の減少額が当該連動子会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(v)-2　the particulars set forth in Article 166, paragraph (2), item (v), (f) of the Act:　that the amount of decrease in the assets of the relevant Linked Subsidiary Company as a result of a dissolution is expected to be less than an amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the latest business year of the Linked Subsidiary Company, and that both in the business year of the Linked Subsidiary Company which includes the scheduled date of the dissolution and in the following business year, the amount of decrease in the net sales of the Linked Subsidiary Company as a result of the dissolution is expected to be less than an amount equivalent to 10 percent of the amount of the net sales in the latest business year of the Linked Subsidiary Company;

六　法第百六十六条第二項第五号トに掲げる事項　新製品の販売又は新技術を利用する事業の開始予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該新製品又は新技術の企業化による売上高の増加額が当該連動子会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれ、かつ、当該新製品の販売又は新技術を利用する事業の開始のために特別に支出する額の合計額が当該連動子会社の最近事業年度の末日における固定資産の帳簿価額の百分の十に相当する額未満であると見込まれること。

(vi)　the particulars set forth in Article 166, paragraph (2), item (v), (g) of the Act:　that in each business year commencing within three years after the first day of the business year that includes the scheduled commencement date of sales of new products or business which uses new technology, the amount of increase in net sales as a result of commercialization of the new products or new technology is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the relevant Linked Subsidiary Company, and that the total amount of special expenditures for the commencement of the sales of new products or business which uses new technology are expected to be less than an amount equivalent to 10 percent of the book value of the Fixed Assets as of the last day of the latest business year of the Linked Subsidiary Company;

七　令第二十九条第一号に掲げる事項　次に掲げるもののいずれかに該当すること。

(vii)　the particulars set forth in Article 29, item (i) of the Order: that the business alliance or cancellation of a business alliance falls under either of the following:

八　令第二十九条第二号に掲げる事項　次に掲げる孫会社の異動を伴うものであること。

(viii)　the particulars set forth in Article 29, item (ii) of the Order: that the transfer or acquisition of shares or equity involving changes in a Second-Tier Subsidiary Company is one which involves the changes in the following Second-Tier Subsidiary Companies:

九　令第二十九条第三号に掲げる事項　固定資産の譲渡又は取得による当該連動子会社の資産の減少額又は増加額が当該連動子会社の最近事業年度の末日における純資産額の百分の三十に相当する額未満であると見込まれること。

(ix)　the particulars set forth in Article 29, item (iii) of the Order:　that the amount of decrease or increase in the assets of the relevant Linked Subsidiary Company as a result of the transfer or acquisition of Fixed Assets is expected to be less than an amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the latest business year of the Linked Subsidiary Company;

十　令第二十九条第四号に掲げる事項　事業の全部又は一部の休止又は廃止の予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該休止又は廃止による売上高の減少額が当該連動子会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(x)　the particulars set forth in Article 29, item (iv) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the scheduled suspension or closure date of business in whole or in part, the amount of decrease in net sales as a result of the suspension or closure of business is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Linked Subsidiary Company;

十一　令第二十九条第六号に掲げる事項　新たな事業の開始の予定日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該新たな事業の開始による売上高の増加額が当該連動子会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれ、かつ、当該新たな事業の開始のために特別に支出する額の合計額が当該連動子会社の最近事業年度の末日における固定資産の帳簿価額の百分の十に相当する額未満であると見込まれること。

(xi)　the particulars set forth in Article 29, item (vi) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the scheduled date of commencement of new business, the amount of increase in net sales as a result of the commencement of new business is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the relevant Linked Subsidiary Company, and that the total amount of special expenditures for the commencement of new business is expected to be less than an amount equivalent to 10 percent of the book value of the Fixed Assets as of the last day of the latest business year of the Linked Subsidiary Company;

十二　令第二十九条第八号に掲げる事項　一株当たりの剰余金の配当の額を前事業年度の対応する期間に係る一株当たりの剰余金の配当の額で除して得た数値が〇・八を超え、かつ、一・二未満であること（当該連動子会社の最近事業年度の一株当たりの剰余金の配当の額と上場会社等が当該連動子会社の剰余金の配当に基づき決定した最近事業年度の一株当たりの剰余金の配当の額が同額の場合に限る。）。

(xii)　the particulars set forth in Article 29, item (viii) of the Order:　that the figure arrived at when the amount of dividend of surplus per share is divided by the amount of dividend of surplus per share associated with the period corresponding to the preceding business year is more than 0.8 and less than 1.2 (but only if the amount of dividend of surplus per share in the latest business year of the Linked Subsidiary Company and the amount of dividend of surplus per share in the latest business year which the Listed Company, etc. determined based on the dividend of surplus of the Linked Subsidiary Company are the same).

一　法第百六十六条第二項第六号イに掲げる事実　災害若しくは業務に起因する損害又は業務遂行の過程で生じた損害の額が当該上場会社等の属する企業集団の最近事業年度の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(i)　the particulars set forth in Article 166, paragraph (2), item (vi), (a) of the Act:　that the amount of damage arising from a disaster or in the course of performing operations is expected to be less than an amount equivalent to three percent of the Amount of Net Assets as of the last day of the latest business year of the Corporate Group to which the relevant Listed Company, etc. belongs;

二　令第二十九条の二第一号に掲げる事実　次に掲げるもののいずれかに該当すること。

(ii)　the fact set forth in Article 29-2, item (i) of the Order: that the fact falls under either of the following:

三　令第二十九条の二第二号に掲げる事実　次に掲げるもののいずれかに該当すること。

(iii)　the fact set forth in Article 29-2, item (ii) of the Order: that the fact falls under either of the following:

四　令第二十九条の二第三号に掲げる事実　法令に基づく処分を受けた日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該処分による当該上場会社等の属する企業集団の売上高の減少額が当該業集団の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(iv)　the fact set forth in Article 29-2, item (iii) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the day of disposition under laws and regulations, the amount of reduction in net sales of the Corporate Group to which the Listed Company, etc. belongs as a result of the disposition is expected to be less than an amount equivalent to 10 percent of the amount of the net sales in the latest business year of the Corporate Group;

五　令第二十九条の二第七号に掲げる事実　売掛金、貸付金その他の債権又は求償権について債務の不履行のおそれのある額が当該上場会社等の属する企業集団の最近事業年度の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(v)　the fact set forth in Article 29-2, item (vii) of the Order:　that the amount for which there is a risk of default with regard to accounts receivable, loaned money, any other claims, or the rights to obtain reimbursement is expected to be less than an amount equivalent to three percent of the Amount of Net Assets as of the last day of the latest business year of the Corporate Group to which the relevant Listed Company, etc. belongs;

六　令第二十九条の二第八号に掲げる事実　主要取引先との取引の停止の日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該取引の停止による当該上場会社等の属する企業集団の売上高の減少額が当該企業集団の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(vi)　the fact set forth in Article 29-2, item (viii) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the date of suspension of a transaction with a Major Trading Partner, the amount of reduction in net sales of the Corporate Group to which the Listed Company, etc. belongs as a result of the suspension of the transaction is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Corporate Group;

七　令第二十九条の二第九号に掲げる事実　債務の免除の額又は債務の引受け若しくは弁済の額が当該上場会社等の属する企業集団の最近事業年度の末日における債務の総額の百分の十に相当する額未満であること。

(vii)　the fact set forth in Article 29-2, item (ix) of the Order:　that the amount of exemption from obligation or the amount of assumption or performance of obligations is less than an amount equivalent to 10 percent of the total amount of obligations as of the last day of the latest business year of the Corporate Group to which the relevant Listed Company, etc. belongs;

八　令第二十九条の二第十号に掲げる事実　発見された資源の採掘又は採取を開始する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該資源を利用する事業による当該上場会社等の属する企業集団の売上高の増加額が当該業集団の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(viii)　the fact set forth in Article 29-2, item (x) of the Order:　that in each business year commencing within three years after the first day of the business year in which mining or collection of a discovered resource is commenced, the amount of increase in net sales of the Corporate Group to which the Listed Company, etc. belongs as a result of business using the resource is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Corporate Group.

一　法第百六十六条第二項第六号イに掲げる事実　災害若しくは業務に起因する損害又は業務遂行の過程で生じた損害の額が当該連動子会社の最近事業年度の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(i)　the fact set forth in Article 166, paragraph (2), item (vi), (a) of the Act:　that the amount of damage arising from a disaster or in the course of performing operations is expected to be less than an amount equivalent to three percent of the Amount of Net Assets as of the last day of the latest business year of the Linked Subsidiary Company;

二　令第二十九条の二第一号に掲げる事実　次に掲げるもののいずれかに該当すること。

(ii)　the fact set forth in Article 29-2, item (i) of the Order: that the fact falls under either of the following:

三　令第二十九条の二第二号に掲げる事実　次に掲げるもののいずれかに該当すること。

(iii)　the fact set forth in Article 29-2, item (ii) of the Order: that the fact falls under either of the following:

四　令第二十九条の二第三号に掲げる事実　法令に基づく処分を受けた日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該処分による売上高の減少額が当該連動子会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(iv)　the fact set forth in Article 29-2, item (iii) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the day of disposition under laws and regulations, the amount of reduction in net sales as a result of the disposition is expected to be less than an amount equivalent to 10 percent of the amount of the net sales in the latest business year of the Linked Subsidiary Company;

五　令第二十九条の二第七号に掲げる事実　売掛金、貸付金その他の債権又は求償権について債務の不履行のおそれのある額が当該連動子会社の最近事業年度の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(v)　the fact set forth in Article 29-2, item (vii) of the Order:　that the amount for which there is a risk of default with regard to accounts receivable, loaned money, any other claims, or the rights to obtain reimbursement is expected to be less than an amount equivalent to three percent of the Amount of Net Assets as of the last day of the latest business year of the Linked Subsidiary Company;

六　令第二十九条の二第八号に掲げる事実　主要取引先との取引の停止の日の属する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該取引の停止による売上高の減少額が当該連動子会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(vi)　the fact set forth in Article 29-2, item (viii) of the Order:　that in each business year commencing within three years after the first day of the business year that includes the date of suspension of a transaction with a Major Trading Partner, the amount of reduction in net sales as a result of the suspension of the transaction is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Linked Subsidiary Company;

七　令第二十九条の二第九号に掲げる事実　債務の免除の額又は債務の引受け若しくは弁済の額が当該連動子会社の最近事業年度の末日における債務の総額の百分の十に相当する額未満であること。

(vii)　the fact set forth in Article 29-2, item (ix) of the Order:　that the amount of exemption from obligations or the amount of assumption or performance of obligations is less than an amount equivalent to 10 percent of the total amount of obligations as of the last day of the latest business year of the Linked Subsidiary Company; and

八　令第二十九条の二第十号に掲げる事実　発見された資源の採掘又は採取を開始する事業年度開始の日から三年以内に開始する各事業年度においていずれも当該資源を利用する事業による売上高の増加額が当該連動子会社の最近事業年度の売上高の百分の十に相当する額未満であると見込まれること。

(viii)　the fact set forth in Article 29-2, item (x) of the Order:　that in each business year commencing within three years after the first day of the business year in which mining or collection of a discovered resource is commenced, the amount of increase in net sales as a result of business using the resource is expected to be less than an amount equivalent to 10 percent of the net sales in the latest business year of the Linked Subsidiary Company.

一　売上高　新たに算出した予想値又は当事業年度の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）で除して得た数値が一・一以上又は〇・九以下であること。

(i)　net sales:　that the figure arrived at when the newly prepared forecasts or the numbers in the settlement of accounts for the relevant business year are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is either 1.1 or greater or 0.9 or less;

二　経常利益　新たに算出した予想値又は当事業年度の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）で除して得た数値が一・三以上又は〇・七以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前事業年度の実績値が零の場合はすべてこの基準に該当することとする。）であり、かつ、新たに算出した予想値又は当事業年度の決算における数値と公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）とのいずれか少なくない数値から他方を減じて得たものを前事業年度の末日における純資産額と資本金の額とのいずれか少なくない金額で除して得た数値が百分の五以上であること。

(ii)　current profits:　that the figure arrived at when the newly prepared forecasts or the results in the settlement of accounts for the business year are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is either 1.3 or greater or 0.7 or less (all cases in which the latest published forecasts or the results of the preceding business year which have been published for lack of relevant forecasts are zero fall under this criteria); and either that when whichever is greater, the newly prepared forecasts or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 5 percent; or that when whichever is greater, the numbers in the settlement of accounts for the relevant business year or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 5 percent;

三　純利益　新たに算出した予想値又は当事業年度の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）で除して得た数値が一・三以上又は〇・七以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前事業年度の実績値が零の場合はすべてこの基準に該当することとする。）であり、かつ、新たに算出した予想値又は当事業年度の決算における数値と公表がされた直近の予想値（当該予想値がない場合は、公表がされた前事業年度の実績値）とのいずれか少なくない数値から他方を減じて得たものを前事業年度の末日における純資産額と資本金の額とのいずれか少なくない金額で除して得た数値が百分の二・五以上であること。

(iii)　net profit:　that the figure arrived at when the newly prepared forecasts or the results in the settlement of account for the business year are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is either 1.3 or greater or 0.7 or less (all cases in which the latest published forecasts or the results of the preceding business year which have been published for lack of relevant forecasts are zero fall under this criteria); and either that when whichever is greater, the newly prepared forecasts or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 5 percent; or that when whichever is greater, the numbers in the settlement of accounts for the relevant business year or the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding business year) is deducted from the lesser of these and the resulting difference is then divided by whichever is greater of the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, the resulting figure is at least 5 percent.

一　法第百六十六条第二項第九号ロに掲げる事項投資信託及び投資法人に関する法律第八十二条第一項に規定する投資法人の発行する投資口を引き受ける者の募集の払込金額の総額が一億円（外国通貨をもって表示される投資証券の募集の場合にあっては、一億円に相当する額）未満であると見込まれること。

(i)　the particulars set forth in Article 166, paragraph (2), item (ix), (b) of the Act: that the total amount to be paid in for the solicitation of persons to subscribe for investment equity issued by an Investment Corporation prescribed in Article 82, paragraph (1) of the Act on Investment Trusts and Investment Corporations is expected to be less than 100 million yen (or an amount equivalent to 100 million yen, if it is soliciting persons to subscribe for Investment Securities indicated in foreign currency);

二　法第百六十六条第二項第九号ニに掲げる事項新投資口予約権無償割当て（投資信託及び投資法人に関する法律第八十八条の十三に規定する新投資口予約権無償割当てをいう。以下この号、第五十九条第一項第十三号及び第六十三条第一項第十三号において同じ。）により割り当てる新投資口予約権の行使に際して払い込むべき金額の合計額が一億円（外国通貨をもって表示される新投資口予約権証券に係る新投資口予約権を割り当てる場合にあっては、一億円に相当する額）未満であると見込まれ、かつ、当該新投資口予約権無償割当てにより一口に対し割り当てる新投資口予約権の目的である投資口の数の割合が〇・一未満であること。

(ii)　the particulars set forth in Article 166, paragraph (2), item (ix), (d) of the Act: that the total amount to be paid in upon the exercise of Investment Equity Subscription Rights to be allotted by Allotment of Investment Equity Subscription Rights without Contribution (meaning Allotment of Investment Equity Subscription Rights without Contribution as prescribed in Article 88-13 of the Act on Investment Trusts and Investment Corporations; hereinafter the same applies in this item and Article 59, paragraph (1), item (xiii) and Article 63, paragraph (1), item (xiii)) is expected to be less than 100 million yen (or an amount equivalent to 100 million yen, if Investment Equity Subscription Rights associated with Investment Equity Subscription Rights Certificates indicated in foreign currency are to be allotted) and the ratio of the number of units of investment equity underlying the Investment Equity Subscription Rights allotted per unit by the Allotment of Investment Equity Subscription Rights without Contribution is less than 0.1;

三　法第百六十六条第二項第九号ホに掲げる事項投資口の分割により一口に対し増加する投資口の数の割合が〇・一未満であること。

(iii)　the particulars set forth in Article 166, paragraph (2), item (ix), (e) of the Act: that the ratio of the number of units of investment equity increased per unit through a split of investment equity is less than 0.1;

四　法第百六十六条第二項第九号ヘに掲げる事項一口当たりの金銭の分配の額を前営業期間に係る一口当たりの金銭の分配の額で除して得た数値が〇・八を超え、かつ、一・二未満であること。

(iv)　the particulars set forth in Article 166, paragraph (2), item (ix), (f) of the Act: that the figure arrived at when the amount of money distributed per unit is divided by the amount of money distributed per unit in the previous Business Period is more than 0.8 but less than 1.2;

五　法第百六十六条第二項第九号トに掲げる事項合併による投資法人の資産の増加額が当該投資法人の最近営業期間の末日における純資産額の百分の三十に相当する額未満であると見込まれ、かつ、当該合併の予定日の属する営業期間及び翌営業期間の各営業期間（当該投資法人の営業期間が六月である場合にあっては、当該合併の予定日の属する営業期間開始の日から開始する特定営業期間（連続する二営業期間をいう。以下同じ。）及び翌特定営業期間の各特定営業期間）においていずれも当該合併による当該投資法人の営業収益の増加額が当該投資法人の最近営業期間の営業収益（当該投資法人の営業期間が六月である場合にあっては、最近二営業期間の営業収益の合計額）の百分の十に相当する額未満であると見込まれること。

(v)　the particulars set forth in Article 166, paragraph (2), item (ix), (g) of the Act: that the amount of increase in assets of an Investment Corporation as a result of the merger is expected to be less than an amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the latest Business Period of the Investment Corporation, and the amount of increase in operating profit of the Investment Corporation as a result of the merger both in the Business Period that includes the scheduled date of the merger and in the following Business Period (or both the specified Business Period (meaning two consecutive Business Periods; the same applies hereinafter) that commences on the day of commencement of the Business Period that includes the scheduled date of the merger and the following specified Business Period, if the Business Period of the Investment Corporation is six months) is expected to be less than an amount equivalent to 10 percent of the operating profit in the latest Business Period of the Investment Corporation (or the total amount of operating profit in the two latest Business Periods, if the Business Period of the Investment Corporation is six months).

一　法第百六十六条第二項第十号イに掲げる事実災害若しくは業務に起因する損害又は業務遂行の過程で生じた損害の額が投資法人の最近営業期間の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(i)　the fact set forth in Article 166, paragraph (2), item (x), (a) of the Act: that the amount of damage arising from a disaster or in the course of performing operations is expected to be less than an amount equivalent to three percent of the Amount of Net Assets as of the last day of the latest Business Period of the Investment Corporation;

二　法第百六十六条第二項第十号ロに掲げる事実法第二条第一項第十一号に掲げる投資法人債券に係る上場の廃止又は登録の取消しの原因となる事実（投資口の上場廃止の原因となる事実を除く。）が生じたこと。

(ii)　the fact set forth in Article 166, paragraph (2), item (x), (b) of the Act: that a fact that may be a grounds for delisting or recession of registration of Investment Corporation Bonds as set forth in Article 2, paragraph (1), item (xi) of the Act (excluding a fact which may be a grounds for delisting of investment equity) has occurred;

三　令第二十九条の二の三第一号に掲げる事実次に掲げるもののいずれかに該当すること。

(iii)　the fact set forth in Article 29-2-3, item (i) of the Order: that the fact falls under either of the following:

四　令第二十九条の二の三第二号に掲げる事実次に掲げるもののいずれかに該当すること。

(iv)　the fact set forth in Article 29-2-3, item (ii) of the Order: that the fact falls under either of the following:

五　令第二十九条の二の三第三号に掲げる事実法令に基づく処分を受けた日の属する営業期間開始の日から三年以内に開始する各営業期間においていずれも当該処分による投資法人の営業収益の減少額が当該投資法人の最近営業期間の営業収益の百分の十に相当する額未満であると見込まれること。

(v)　the fact set forth in Article 29-2-3, item (iii) of the Order: that in each Business Period commencing within three years after the first day of the Business Period that includes the day of disposition under laws and regulations, the amount of reduction in operating profit of an Investment Corporation as a result of the disposition is expected to be less than an amount equivalent to 10 percent of the amount of the operating profit in the latest Business Period of the Investment Corporation;

六　令第二十九条の二の三第六号に掲げる事実売掛金、貸付金その他の債権又は求償権について債務の不履行のおそれのある額が投資法人の最近営業期間の末日における純資産額の百分の三に相当する額未満であると見込まれること。

(vi)　the fact set forth in Article 29-2-3, item (vi) of the Order: that the amount for which there is a risk of default with regard to accounts receivable, loaned money, any other claims, or the rights to obtain reimbursement is expected to be less than an amount equivalent to three percent of the Amount of Net Assets of an Investment Corporation as of the last day of the latest Business Period;

七　令第二十九条の二の三第七号に掲げる事実主要取引先（同号に規定する主要取引先をいう。）との取引の停止の日の属する営業期間開始の日から三年以内に開始する各営業期間においていずれも当該取引の停止による投資法人の営業収益の減少額が当該投資法人の最近営業期間の営業収益の百分の十に相当する額未満であると見込まれること。

(vii)　the fact set forth in Article 29-2-3, item (vii) of the Order: that in each Business Period commencing within three years after the first day of the Business Period that includes the date of suspension of a transaction with a Major Trading Partner (meaning a Major Trading Partner as prescribed in that item), the amount of reduction in operating profit of an Investment Corporation as a result of the suspension of the transaction is expected to be less than an amount equivalent to 10 percent of the operating profit in the latest Business Period of the Investment Corporation;

八　令第二十九条の二の三第八号に掲げる事実債務の免除の額又は債務の引受け若しくは弁済の額が投資法人の最近営業期間の末日における債務の総額の百分の十に相当する額未満であること。

(viii)　the fact set forth in Article 29-2-3, item (viii) of the Order: that the amount of exemption from obligation or the amount of assumption or performance of obligations is expected to be less than an amount equivalent to 10 percent of the total amount of obligations as of the last day of the latest Business Period of an Investment Corporation; and

九　令第二十九条の二の三第九号に掲げる事実発見された資源の採掘又は採取を開始する営業期間開始の日から三年以内に開始する各営業期間においていずれも当該資源による投資法人の営業収益の増加額が当該投資法人の最近営業期間の営業収益の百分の十に相当する額未満であると見込まれること。

(ix)　the fact set forth in Article 29-2-3, item (ix) of the Order: that in each Business Period which commences within three years from the day of commencement of the Business Period in which mining or collection of a discovered resource is commenced, the amount of increase in operating profit of an Investment Corporation as a result of the resource is expected to be less than an amount equivalent to 10 percent of the operating profit in the latest Business Period of the Investment Corporation.

一　営業収益　新たに算出した予想値又は当営業期間の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前営業期間の実績値）で除して得た数値が一・一以上又は〇・九以下であること。

(i)　operating profit:　that the figure arrived at when the newly prepared forecasts or the figure in the settlement of account for the Business Period is divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding Business Period) is not less than 1.1, or not more than 0.9;

二　経常利益　新たに算出した予想値又は当営業期間の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前営業期間の実績値）で除して得た数値が一・三以上又は〇・七以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前営業期間の実績値が零の場合は全てこの基準に該当することとする。）であり、かつ、新たに算出した予想値又は当営業期間の決算における数値と公表がされた直近の予想値（当該予想値がない場合は、公表がされた前営業期間の実績値）とのいずれか少なくない数値から他方を減じて得たものを前営業期間の末日における純資産額で除して得た数値が百分の五以上であること。

(ii)　current profits:　that the figure arrived at when the newly prepared forecasts or the figure in the settlement of account for the Business Period are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding Business Period) is either 1.3 or greater or 0.7 or less (cases in which the latest published forecasts or the actual figures of the preceding Business Period which have been publicized for lack of relevant forecasts are zero all fall under this criteria), and that the figure arrived at when the newly prepared forecasts or the difference arrived at when the smaller is deducted from the larger between the figure in the settlement of account for the Business Period and the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding Business Period) are divided by the Amount of Net Assets as of the last day of the preceding Business Period is not less than 5 percent;

三　純利益　新たに算出した予想値又は当営業期間の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前営業期間の実績値）で除して得た数値が一・三以上又は〇・七以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前営業期間の実績値が零の場合は全てこの基準に該当することとする。）であり、かつ、新たに算出した予想値又は当営業期間の決算における数値と公表がされた直近の予想値（当該予想値がない場合は、公表がされた前営業期間の実績値）とのいずれか少なくない数値から他方を減じて得たものを前営業期間の末日における純資産額で除して得た数値が百分の二・五以上であること。

(iii)　net profit:　that the figure arrived at when the newly prepared forecasts or the figure in the settlement of account for the Business Period are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding Business Period) is either 1.3 or greater or 0.7 or less (cases in which the latest published forecasts or the actual figures of the preceding Business Period which have been publicized for lack of relevant forecasts are zero all fall under this criteria), and that the figure arrived at when the newly prepared forecasts or the difference arrived at when the smaller is deducted from the larger between the figure in the settlement of account for the Business Period and the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding Business Period) is divided by the Amount of Net Assets as of the last day of the preceding Business Period is not less than 2.5 percent;

四　金銭の分配　新たに算出した予想値又は当営業期間の決算における数値を公表がされた直近の予想値（当該予想値がない場合は、公表がされた前営業期間に係る金銭の分配の実績値）で除して得た数値が一・二以上又は〇・八以下（公表がされた直近の予想値又は当該予想値がない場合における公表がされた前営業期間の実績値が零の場合は全てこの基準に該当することとする。）であること。

(iv)　distribution of monies:　that the figure arrived at when the newly prepared forecasts or the figure in the settlement of account for the Business Period are divided by the latest published forecasts (or, if there are no such forecasts, the published actual figures of the preceding Business Period) is not less than 1.2, or not more than 0.8 (cases in which the latest published forecasts or the actual figures of the preceding Business Period which have been publicized for lack of relevant forecasts are zero all fall under this criteria).

一　法第百六十六条第二項第十二号イに掲げる事項次に掲げるもののいずれかに該当すること。

(i)　the particulars set forth in Article 166, paragraph (2), item (xii), (a) of the Act: that the asset investment falls under any of the following:

二　法第百六十六条第二項第十二号ハに掲げる事項株式交換完全親会社となる資産運用会社にあって、主要株主の異動が見込まれる株式交換以外の株式交換

(ii)　the particulars set forth in Article 166, paragraph (2), item (xii), (c) of the Act: that in the case of an Asset Management Company which is to become a Wholly Owning Parent Company in Share Exchange, share exchange other than share exchange in which changes in Major Shareholders are expected;

三　法第百六十六条第二項第十二号ホに掲げる事項　吸収合併存続会社（会社法第七百四十九条第一項に規定する吸収合併存続会社をいう。）となる資産運用会社にあって、主要株主の異動が見込まれる合併以外の合併

(iii)　the particulars set forth in Article 166, paragraph (2), item (xii), (e) of the Act:　that in the case of an Asset Management Company which is to become a Company Surviving the Absorption-type Merger (meaning Company Surviving the Absorption-type Merger as prescribed in Article 749, paragraph (1) of the Companies Act), merger other than merger in which changes in Major Shareholders are expected;

四　令第二十九条の二の四第一号に掲げる事項　次に掲げるもののいずれかに該当すること。

(iv)　the particulars set forth in Article 29-2-4, item (i) of the Order: that the company split falls under either of the following:

五　令第二十九条の二の四第二号に掲げる事項　次に掲げるもののいずれかに該当すること。

(v)　the particulars set forth in Article 29-2-4, item (ii) of the Order: that the transfer of business falls under either of the following:

六　令第二十九条の二の四第三号に掲げる事項　資産の運用に係る事業の休止又は廃止の予定日の属する投資法人の営業期間開始の日から三年以内に開始する当該投資法人の各営業期間においていずれも当該休止又は廃止による当該投資法人の営業収益の減少額が当該投資法人の最近営業期間の営業収益の百分の十に相当する額未満であると見込まれること。

(vi)　the particulars set forth in Article 29-2-4, item (iii) of the Order:　that in each Business Period of the Investment Corporation which commences within three years from the day of commencement of the Business Period of the Investment Corporation which includes the scheduled date of the suspension or closure of business associated with asset investment, the amount of reduction in operating profit of the Investment Corporation as a result of the suspension or closure is expected to be less than an amount equivalent to 10 percent of the operating profit in the latest Business Period of the Investment Corporation;

七　令第二十九条の二の四第四号に掲げる事項　投資法人から委託を受けて行う資産の運用であって、その全部又は一部が休止又は廃止されることとなる予定日の属する当該投資法人の営業期間開始の日から三年以内に開始する当該投資法人の各営業期間においていずれも当該休止又は廃止されることとなることによる当該投資法人の営業収益の減少額が当該投資法人の最近営業期間の営業収益の百分の十に相当する額未満であると見込まれること。

(vii)　the particulars set forth in Article 29-2-4, item (iv) of the Order:　that in each Business Period of the Investment Corporation which commences within three years from the day of commencement of the Business Period of the Investment Corporation which includes the scheduled date of the suspension or discontinuation of asset investment conducted under entrustment from the Investment Corporation in whole or in part, the amount of reduction in operating profit of the Investment Corporation as a result of the suspension or discontinuation is expected to be less than an amount equivalent to 10 percent of the operating profit in the latest Business Period of the Investment Corporation;

八　令第二十九条の二の四第六号に掲げる事項　投資法人から委託を受けて行う資産の運用であって、新たに開始されることとなる予定日の属する当該投資法人の営業期間開始の日から三年以内に開始する当該投資法人の各営業期間においていずれも当該資産の運用が新たに開始されることとなることによる当該投資法人の営業収益の増加額が当該投資法人の最近営業期間の営業収益の百分の十に相当する額未満であると見込まれ、かつ、当該資産の運用が新たに開始されることとなるために当該投資法人が特別に支出する額の合計額が当該投資法人の最近営業期間の末日における固定資産の帳簿価額の百分の十に相当する額未満であると見込まれること。

(viii)　the particulars set forth in Article 29-2-4, item (vi) of the Order:　that in each Business Period of the Investment Corporation which commences within three years from the day of commencement of the Business Period of the Investment Corporation which includes the scheduled date of commencement of new asset investment conducted under entrustment from the Investment Corporation, the amount of increase in operating profit of the Investment Corporation as a result of the commencement of new asset investment is expected to be less than an amount equivalent to 10 percent of the operating profit in the latest Business Period of the Investment Corporation, and the total amount of special expenditures of the Investment Corporation for the commencement of new asset investment is expected to be less than an amount equivalent to 10 percent of the book value of the Fixed Assets as of the last day of the latest Business Period of the Investment Corporation.

一　法第百六十六条第二項第十三号イに掲げる事実　法令に基づく処分を受けた日の属する投資法人の営業期間開始の日から三年以内に開始する当該投資法人の各営業期間においていずれも当該処分による当該投資法人の営業収益の減少額が当該投資法人の最近営業期間の営業収益の百分の十に相当する額未満であると見込まれること。

(i)　the fact set forth in Article 166, paragraph (2), item (xiii), (a) of the Act:　that in each Business Period of an Investment Corporation which commences within three years from the day of commencement of the Business Period of the Investment Corporation which includes the day of disposition under laws and regulations, the amount of reduction in operating profit of the Investment Corporation as a result of the disposition is expected to be less than an amount equivalent to 10 percent of the amount of the operating profit in the latest Business Period of the Investment Corporation;

二　令第二十九条の二の五第一号に掲げる事実　次に掲げるもののいずれかに該当すること。

(ii)　the fact set forth in Article 29-2-5, item (i) of the Order: that the fact falls under any of the following:

三　令第二十九条の二の五第二号に掲げる事実　次に掲げるもののいずれかに該当すること。

(iii)　the fact set forth in Article 29-2-5, item (ii) of the Order: that the fact falls under either of the following:

一　前営業期間の末日から過去三年間において当該上場投資法人等が令第二十九条の三第三項第一号及び第二号に掲げる取引の対価として支払い、及び受領した金額の合計額

(i)　the total amount which the Listed Investment Corporation, etc. has paid and received as the consideration of transactions set forth in Article 29-3, paragraph (3), items (i) and (ii) of the Order in the past three years from the last day of the previous Business Period;

二　前営業期間の末日から過去三年間において当該上場投資法人等が当該利害関係人等との間で令第二十九条の三第三項第一号及び第二号に掲げる取引の対価として支払い、及び受領した金額の合計額

(ii)　the total amount which the Listed Investment Corporation, etc. has paid to and received from the Interested Person, etc. as the consideration of transactions set forth in Article 29-3, paragraph (3), items (i) and (ii) of the Order in the past three years from the last day of the previous Business Period.

一　前営業期間における当該上場投資法人等の営業収益の合計額

(i)　the total amount of operating profit, etc. of the Listed Investment Corporation, etc. in the previous Business Period;

二　次に掲げる金額のうちいずれか多い金額

(ii)　the higher of the amounts as listed below:

一　株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式に係る株券

(i)　share certificates associated with shares with no voting rights on any of the particulars which may be resolved at a shareholders meeting; and

二　外国の者の発行する証券又は証書で前二号に掲げる有価証券の性質を有するもの

(ii)　securities or certificates which have been issued by a foreign person and have the nature of the Securities set forth in the preceding two items.

一　新株予約権証券のうち前項第一号に掲げる株式のみを取得する権利を付与されているもの

(i)　share option certificates with the right to acquire only shares set forth in item (i) of the preceding paragraph; and

二　外国の者の発行する証券又は証書で前号に掲げる有価証券の性質を有するもの

(ii)　securities or certificates which have been issued by a foreign person and have the nature of Securities set forth in the preceding item.

一　新株予約権付社債券のうち第一項第一号に掲げる株式のみを取得する権利を付与されているもの

(i)　corporate bond certificates with share options with the right to acquire only shares set forth in paragraph (1), item (i); and

二　外国の者の発行する証券又は証書で前号に掲げる有価証券の性質を有するもの

(ii)　securities or certificates which have been issued by a foreign person and have the nature of Securities set forth in the preceding item.

一　有価証券信託受益証券で、株券、新株予約権証券、新株予約権付社債券（外国の者の発行する証券又は証書で、これらの有価証券の性質を有するものを含むものとし、第一項から第三項までの各号に掲げるものを除く。次号において同じ。）、投資証券等（第四項に規定するものを除く。同号において同じ。）又は新投資口予約権証券等（新投資口予約権証券及び外国投資証券で新投資口予約権証券に類する証券をいい、前項に規定するものを除く。同号において同じ。）を受託有価証券とするもの（次項第四号において「株券等信託受益証券」という。）

(i)　Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are share certificates, Share Option Certificates, corporate bond certificates with share options (or instruments or certificates issued by a foreign person that have the nature of these Securities; but not those set forth in the items of paragraph (1) through paragraph (3); the same applies in the following item), Investment Securities, etc. (but not those set forth in paragraph (4); the same applies in the same item) or Investment Equity Subscription Rights Certificates, etc. (meaning Investment Equity Subscription Rights Certificates and Foreign Investment Securities similar to Investment Equity Subscription Rights Certificates; but excluding those set forth in the preceding paragraph; the same applies in the same item) (referred to as the "Beneficiary Securities of Share Certificates, etc. in Trust" in item (iv) of the following paragraph); and

二　法第二条第一項第二十号に掲げる有価証券で、株券、新株予約権証券、新株予約権付社債券、投資証券等又は新投資口予約権証券等に係る権利を表示するもの（次項第五号において「株券等預託証券」という。）

(ii)　Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with share certificates, share option certificates, corporate bond certificates with share options, Investment Securities, etc. or Investment Equity Subscription Rights Certificates, etc. (referred to as the "Depository Receipts for Share Certificates, etc." in item (v) of the following paragraph).

一　新株予約権証券については、新株予約権の目的である株式に係る議決権の数とする方法

(i)　for share option certificates, the means of using the number of voting rights from shares underlying the share options;

二　新株予約権付社債券については、当該新株予約権付社債券に付与されている新株予約権の目的である株式に係る議決権の数とする方法

(ii)　for corporate bond certificates with share options, the method in which the relevant number is the number of voting rights from shares underlying the share options attached to the corporate bond certificates with share options;

三　外国の者の発行する証券又は証書で株券の性質を有するものについては、株式に係る議決権の数とし、新株予約権証券又は新株予約権付社債券の性質を有するものについては、内国法人の発行する証券又は証書に準じて換算した株式に係る議決権の数とする方法

(iii)　for securities or certificates which have been issued by a foreign person and have the nature of securities, the method in which the relevant number is the number of voting rights from shares, and for those which have the nature of share option certificates or corporate bond certificates with share options, the method in which the relevant number is the number of voting rights from shares into which the securities or certificates have been converted in a way equivalent to the securities or certificates issued by a domestic corporation;

三の二　新投資口予約権証券については、新投資口予約権の目的である投資口に係る議決権の数とする方法

(iii)-2　for Investment Equity Subscription Rights, the method in which the relevant number is the number of voting rights from investment equity underlying the Investment Equity Subscription Rights;

三の三　外国投資証券で新投資口予約権証券に類する証券については、投資法人の発行する新投資口予約権証券に準じて換算した投資口に係る議決権の数とする方法

(iii)-3　for Foreign Investment Securities similar to Investment Equity Subscription Rights Certificates, the method in which the relevant number is the number of voting rights from investment equity into which the Foreign Investment Securities have been converted in a way equivalent to Investment Equity Subscription Rights Certificates issued by an Investment Corporation;

四　株券等信託受益証券については、次に掲げる受託有価証券の区分に応じ、それぞれ次に定める数とする方法

(iv)　for Beneficiary Securities of Share Certificates, etc. in Trust, the method in which the relevant number is the number specified as follows according to the category of the Entrusted Securities set forth in the following items:

五　株券等預託証券については、次に掲げる当該株券等預託証券において表示される権利に係る有価証券の区分に応じ、それぞれ次に定める数とする方法

(v)　for Depository Receipts for Share Certificates, etc., the method in which the relevant number is the number specified as follows according to the category of Securities associated with the rights indicated on the Depository Receipts for Share Certificates, etc.:

一　業務等に関する重要事実（法第百六十六条第一項に規定する業務等に関する重要事実をいう。以下この項において同じ。）を知る前に上場会社等との間で当該上場会社等の発行する特定有価証券等に係る売買等に関し書面による契約をした者が、当該契約の履行として当該書面に定められた当該売買等を行うべき期日又は当該書面に定められた当該売買等を行うべき期限の十日前から当該期限までの間において当該売買等を行う場合

(i)　one in which a person that has concluded a written contract for the Purchase and Sale, etc. of Specified Securities, etc. issued by a Listed Company, etc. with the Listed Company, etc. before coming to know a material fact about its business (meaning a material fact about its business as prescribed in Article 166, paragraph (1) of the Act; hereinafter the same applies in this paragraph) makes the Purchase and Sale, etc. in performance of the contract on the date for the Purchase and Sale, etc. specified in the written contract, or during a period from ten days prior to the time limit for the a Purchase and Sale, etc. specified in the written contract until the time limit;

二　業務等に関する重要事実を知る前に金融商品取引業者との間で信用取引の契約を締結した者が、当該契約の履行として金融商品取引所又は認可金融商品取引業協会の定める売付け有価証券又は買付け代金の貸付けに係る弁済の繰延期限の十日前から当該期限までの間において反対売買を行う場合

(ii)　one in which a person that has concluded a contract for a Margin Transaction with a Financial Instruments Business Operator before coming to know a material fact about its business, makes a Reversing Trade in performance of the contract during a period from ten days prior to the deferred time limit of performance of obligations associated with Securities for sale or the loan for purchase price specified by a Financial Instruments Exchange or Authorized Financial Instruments Firms Association;

三　業務等に関する重要事実を知る前に特定有価証券等に係る法第二条第二十一項第五号又は第二十二項第六号に掲げる取引に関し書面による契約を締結した者が、同条第二十一項第五号イ若しくはロ又は第二十二項第六号イ若しくはロに掲げる事由が発生した場合に当該契約の履行として当事者の間において金銭を授受するとともに、当該特定有価証券等を移転する場合

(iii)　one in which a person that has concluded a written contract for a transaction as set forth in Article 2, paragraph (21), item (v) or paragraph (22), item (vi) of the Act that concerns Specified Securities, etc. before coming to know a material fact about the business of the Listed Company, etc., in addition to taking part in the payment and receipt of money between the parties, transfers the Specified Securities, etc. in performance of the contract in a case in which a cause as set forth in Article 2, paragraph (21), item (v), (a) or (b) or paragraph (22), item (vi), (a) or (b) of the Act has occurred;

四　上場会社等の役員又は従業員（当該上場会社等が他の会社を直接又は間接に支配している場合における当該他の会社の役員又は従業員を含む。以下この号及び次号において同じ。）が当該上場会社等の他の役員又は従業員と共同して当該上場会社等の株券又は投資証券の買付けを行う場合（当該上場会社等が会社法第百五十六条第一項（同法第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定に基づき買い付けた株券以外のものを買い付けるときは、金融商品取引業者に委託等をして行う場合に限る。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各役員又は従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(iv)　one in which an officer or employee of a Listed Company, etc. (or an officer or employee of another company that a Listed Company controls directly or indirectly; hereinafter the same applies in this item and the following item), jointly with another officer or employee of the Listed Company, etc., purchases share certificates or Investment Securities of the Listed Company, etc. (but only if that officer or employee purchases these by Entrusting, etc. a Financial Instruments Business Operator, etc. with doing so, in the event that the purchase is of share certificates other than those that the Listed Company, etc. has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Articles 165, paragraph (3) of that Act)) and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each officer or employee contributes less than one million yen per occasion; the same applies in the following item);

五　上場会社等の役員又は従業員が信託業を営む者と信託財産を当該上場会社等の株券又は投資証券に対する投資として運用することを目的として締結した信託契約に基づき、当該役員又は従業員が当該信託業を営む者に当該上場会社等の株券又は投資証券の買付けの指図を行う場合であって、当該買付けの指図が一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（当該役員又は従業員を委託者とする信託財産と当該上場会社等の他の役員又は従業員を委託者とする信託財産とが合同して運用される場合に限る。）

(v)　one in which the officer or employee of a Listed Company, etc. concludes a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates or Investment Securities of the Listed Company, etc. where pursuant to the trust contract, the officer or employee gives instructions for the purchase of share certificates or Investment Securities of the Listed Company, etc. to the person engaged in Trust Business, and where the purchase is made continuously according to a fixed plan without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is the officer or employee and the trust property for which the settlor is another officer or employee of the Listed Company, etc. are jointly invested);

六　上場会社等（上場投資法人等を除く。以下この号から第八号までにおいて同じ。）の関係会社の従業員が当該関係会社の他の従業員と共同して当該上場会社等の株券の買付けを金融商品取引業者に委託等をして行う場合（第四号に掲げる場合を除く。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(vi)　one in which an employee of an Associated Company of a Listed Company, etc. (but not a Listed Investment Corporation, etc.; hereinafter the same applies in this item through item (viii)), jointly with another employee of the Associated Company, purchases share certificates of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator with doing this (other than as set forth in item (iv)) and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each employee contributes less than one million yen per occasion; the same applies in the following item);

七　上場会社等の関係会社の従業員が信託業を営む者と信託財産を当該上場会社等の株券に対する投資として運用することを目的として締結した信託契約に基づき、当該従業員が当該信託業を営む者に当該上場会社等の株券の買付けの指図を行う場合（第五号に掲げる場合を除く。）であって、当該買付けの指図が一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（当該従業員を委託者とする信託財産と当該関係会社の他の従業員を委託者とする信託財産とが合同して運用される場合に限る。）

(vii)　one in which an employee of an Associated Company of a Listed Company, etc. concludes a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates of the Listed Company, etc. where pursuant to the trust contract, the relevant officer or employee gives instructions for the purchase of share certificates of the Listed Company, etc. to the person engaged in Trust Business (excluding cases set forth in item (v)), and where the purchase is made continuously according to a fixed plan without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is the employee and the trust property for which the settlor is another employee of the Associated Company are jointly invested);

八　上場会社等の取引関係者（当該上場会社等の指定する当該上場会社等と取引関係にある者（法人その他の団体にあってはその役員を含み、個人にあってはその事業に関して当該上場会社等と取引関係にある場合に限る。）をいう。以下この号において同じ。）が当該上場会社等の他の取引関係者と共同して当該上場会社等の株券の買付けを金融商品取引業者に委託等をして行う場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各取引関係者の一回当たりの拠出金額が百万円に満たない場合に限る。）

(viii)　one in which a Person Who Has a Transaction Relationship with a Listed Company, etc. (meaning a person that has a transaction relationship with the Listed Company, etc. as designated by the Listed Company, etc. (or that person's officers, if the person is a corporation or any other type of organization; if the person is an individual, this applies only if that individual has a transaction relationship with the Listed Company, etc. in connection with that individual's business); hereinafter the same applies in this item), jointly with another Person Who Has a Transaction Relationship with the Listed Company, etc., purchases share certificates of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator with doing so, and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each Person Who Has a Transaction Relationship contributes less than one million yen per occasion);

八の二　上場会社等（上場投資法人等に限る。）の資産運用会社又はその特定関係法人の役員又は従業員が当該資産運用会社又は当該特定関係法人の他の役員又は従業員と共同して当該上場会社等の投資証券の買付けを金融商品取引業者に委託等をして行う場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各役員又は従業員の一回当たりの拠出金額が百万円に満たない場合に限る。）

(viii)-2　one in which an officer or employee of the Asset Management Company of a Listed Company, etc. (but only a Listed Investment Corporation, etc.) or a Corporation in Specified Relationship therewith, jointly with another officer or employee of the Asset Management Company or the Corporation in Specified Relationship, purchases Investment Securities of the Listed Company, etc. by Entrusting, etc. a Financial Instruments Business Operator with doing so, and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each officer or employee is to contribute less than one million yen per occasion);

九　累積投資契約により上場会社等の株券（優先出資証券を含む。）又は投資証券の買付けが金融商品取引業者に委託等をして行われる場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各顧客の一銘柄に対する払込金額が一月当たり百万円に満たない場合に限る。）

(ix)　one in which share certificates (or Preferred Equity Investment) or Investment Securities of a Listed Company, etc. are purchased by a person's Entrusting, etc. a Financial Instruments Business Operator with doing so pursuant to a Contract for Cumulative Investment, and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the amount to be paid in for one issue by each customer is less than one million yen per month);

十　業務等に関する重要事実を知る前に法第二十七条の三第二項の規定に基づく公開買付開始公告を行った法第二十七条の二第一項に規定する公開買付けの計画に基づき買付け等（同項に規定する買付け等をいう。）を行う場合

(x)　one in which a person makes a Purchase, etc. (meaning a Purchase, etc. as prescribed in Article 27-2, paragraph (1) of the Act) in accordance with a plan of tender offer as prescribed in Article 27-2, paragraph (1) of the Act for which the person has issued a Public Notice for Commencing Tender Offer under Article 27-3, paragraph (2) of the Act before coming to know a material fact about the business of the Listed Company, etc.;

十一　業務等に関する重要事実を知る前に法第二十七条の二十二の二第二項において準用する法第二十七条の三第二項の規定に基づく関東財務局長への届出をした法第二十七条の二十二の二第一項に規定する公開買付けの計画に基づき買付け等（同項に規定する買付け等をいう。）を行う場合

(xi)　one in which a person makes a Purchase, etc. (meaning a Purchase, etc. as prescribed in Article 27-22-2, paragraph (1) of the Act) in accordance with the plan of tender offer prescribed in Article 27-22-2, paragraph (1) of the Act that the person has filed with the Director General of the Kanto Finance Bureau in accordance with Article 27-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act before coming to know a material fact about the business of the Listed Company, etc.;

十二　業務等に関する重要事実を知る前に、発行者の同意を得た特定有価証券の売出し若しくは特定投資家向け売付け勧誘等に係る計画又は令第三十条に定める公表の措置に準じ公開された特定有価証券の売出し若しくは特定投資家向け売付け勧誘等に係る計画に基づき当該特定有価証券の売出し（金融商品取引業者が売出しの取扱いを行うものに限る。）又は特定投資家向け売付け勧誘等（金融商品取引業者が特定投資家向け売付け勧誘等の取扱いを行うものに限る。）を行う場合

(xii)　one in which a person makes a Secondary Distribution of Specified Securities (but only one in which a Financial Instrument Business Operator handles the Secondary Distribution) or an Exclusive Offer to Sell, etc. to Professional Investors (but only one in which a Financial Instruments Business Operator handles the Exclusive Offer to Sell, etc. to Professional Investors) in accordance with a plan for the Secondary Distribution of Specified Securities or Exclusive Offer to Sell, etc. to Professional Investors for which the person has obtained the consent of the Issuer or a plan for the Secondary Distribution of Specified Securities or Exclusive Offer to Sell, etc. to Professional Investors that has been disclosed in accordance with the measures for publication specified in Article 30 of the Order, before the person came to know a material fact about the business of the Listed Company, etc.;

十三　業務等に関する重要事実を知る前に法第百六十六条第四項に定める公表の措置に準じ公開され、又は公衆の縦覧に供された新株予約権無償割当て又は新投資口予約権無償割当て（新株予約権又は新投資口予約権の内容として発行者が一定の事由が生じたことを条件として当該新株予約権に係る新株予約権証券又は当該新投資口予約権に係る新投資口予約権証券の取得をする旨の定めを設けるものに限る。）に係る計画（当該発行者と法第二十八条第七項第三号に規定する契約を締結した金融商品取引業者に当該取得をした新株予約権証券又は新投資口予約権証券の売付けをするものに限る。）に基づき当該発行者が次に掲げる行為を行う場合

(xiii)　one in which an Issuer performs one of the following acts based on a plan for an Allotment of Share Options without Contribution or Allotment of Investment Equity Subscription Rights without Contribution (but only one regarding which provisions are established stipulating that, as a feature of the share options or Investment Equity Subscription Rights, the Issuer is to acquire the share option certificates associated with those share options or Investment Equity Subscription Rights Certificates associated with the Investment Equity Subscription Rights on the condition of certain grounds arising) which has been disclosed in accordance with the measures for publication or made available for public inspection specified in Article 166, paragraph (4) of the Act before the Issuer came to know a material fact about the business of the Listed Company, etc. (but only a plan to sell share option certificates or Investment Equity Subscription Rights Certificates subject to the acquisition to the Financial Instruments Business Operator that concluded a contract prescribed in Article 28, paragraph (7), item (iii) of the Act with the Issuer):

十四　前各号に掲げる場合のほか、次に掲げる要件の全てに該当する場合

(xiv)　cases other than those set forth in the preceding items, in which all of the following requirements are satisfied:

一　上場会社等が他の会社の総株主等の議決権の百分の五十を超える議決権を保有する場合における当該他の会社

(i)　a second company in which the Listed Company, etc. holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc.;

二　前号に掲げる会社が他の会社の総株主等の議決権の百分の五十を超える議決権を保有する場合における当該他の会社

(ii)　a third company in which a second company as set forth in the preceding item holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc.; or

三　前号に掲げる会社が他の会社の総株主等の議決権の百分の五十を超える議決権を保有する場合における当該他の会社

(iii)　a fourth company in which a third company as set forth in the preceding item holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc.

一　上場会社等が他の会社の総株主等の議決権の百分の二十五以上の議決権を保有する場合における当該他の会社

(i)　a second company in which a Listed Company, etc. holds voting rights constituting not less than 25 percent of the Voting Rights Held by All the Shareholders, etc.;

二　上場会社等に対する前事業年度における他の会社の売上高が当該他の会社の売上高の総額の百分の五十以上である場合における当該他の会社

(ii)　a second company whose net sales to a Listed Company, etc. in the previous business year were not less than 50 percent of the total amount of that second company's net sales; and

三　上場会社等からの前事業年度における他の会社の仕入高が当該他の会社の仕入高の総額の百分の五十以上である場合における当該他の会社

(iii)　a second company whose purchases from a Listed Company, etc. in the previous business year were not less than 50 percent of the total amount of that second company's purchases.

一　株券等（法第百六十七条第一項に規定する株券等をいう。第六十二条及び第六十二条の二を除き、以下同じ。）に係る法第二条第二十一項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を受領する立場の当事者（売方関連株券等の場合にあっては、支払う立場の当事者。以下この条及び次条において同じ。）となるもの

(i)　a transaction as set forth in Article 2, paragraph (21), item (ii) of the Act that concerns Share Certificates, etc. (meaning the Share Certificates, etc. prescribed in Article 167, paragraph (1) of the Act; hereinafter the same applies except in Article 62 and Article 62-2):　one in which the person in question will be the party to receive the money if the Actual Figure exceeds the Agreed Figure (or the party to pay money, for Seller-Related Share Certificates, etc.; hereinafter the same applies in this Article and the following Article);

二　株券等に係る法第二条第二十一項第二号に掲げる取引（これに準ずる取引で金融商品取引所の定めるものを含む。以下この号において同じ。）に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者（売方関連株券等の場合にあっては、受領する立場の当事者。以下この条及び次条において同じ。）となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の付与

(ii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph (or an equivalent transaction that a Financial Instruments Exchange specifies; hereinafter the same applies in this item) concerning Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option equivalent thereto that a Financial Instruments Exchange specifies) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure (or the party to receive money, for Seller-Related Share Certificates, etc.; hereinafter the same applies in this Article and the following Article), or an equivalent Option that a Financial Instruments Exchange specifies);

三　株券等の売買に係る法第二条第二十一項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において買主としての地位（売方関連株券等の場合にあっては、売主としての地位。以下この条及び次条において同じ。）を取得するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において売主としての地位（売方関連株券等の場合にあっては、買主としての地位。以下この条及び次条において同じ。）を取得するものに限る。）の付与

(iii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns the purchase and sale of Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer (or the position of seller, for Seller-Related Share Certificates, etc., the position as a seller; hereinafter the same applies in this Article and the following Article) in the associated purchase and sale of Share Certificates, etc.) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer (or the position of seller, for Seller-Related Share Certificates, etc.; hereinafter the same applies in this Article and the following Article) in the associated purchase and sale of Share Certificates, etc.);

四　株券等に係る法第二条第二十一項第四号に掲げる取引　株券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの又は株券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの

(iv)　a transaction as set forth in Article 2, paragraph (21), item (iv) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to receive the money if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, or one in which the person in question will be the party to pay the money if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon;

五　株券等に係る法第二条第二十一項第四号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの又は株券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの又は株券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるものに限る。）の付与

(v)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (iv) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the person to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, or an Option whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, or an Option whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon);

六　株券等に係る法第二条第二十一項第五号に掲げる取引　当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの

(vi)　a transaction as set forth in Article 2, paragraph (21), item (v) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to pay the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs;

七　株券等に係る法第二条第二十一項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるものに限る。）の付与

(vii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs) or the granting of an Option (but only an Option whose exercise would cause the person that exercises it to be the party to receive the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs);

八　株券等に係る外国市場デリバティブ取引　前各号に掲げる取引の区分に応じ、当該各号に定めるものと類似するもの

(viii)　a Foreign Market Derivatives Transaction involving Share Certificates etc.:　one that is similar to what one of the preceding items prescribes for the category of transaction set forth in that item;

九　株券等に係る法第二条第二十二項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するもの

(ix)　a transaction as set forth in Article 2, paragraph (22), item (ii) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to receive the money if the Actual Figure exceeds the Agreed Figure, or one that is similar to this;

十　株券等に係る法第二条第二十二項第二号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の付与

(x)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this);

十一　株券等の売買に係る法第二条第二十二項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において買主としての地位を取得するもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において売主としての地位を取得するもの又はこれに類似するものに限る。）の付与

(xi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns the purchase and sale of Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer in the associated purchase and sale of Share Certificates, etc. or an Option similar to this) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Share Certificates, etc. or an Option similar to this);

十二　株券等に係る法第二条第二十二項第四号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該株券等の価格が当該行使をした場合の株券等の価格としてあらかじめ約定する数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該株券等の価格が当該行使をした場合の株券等の価格としてあらかじめ約定する数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xii)　a transaction as set forth in Article 2, paragraph (22), item (iv) of the Act that concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction if the actual price of the Share Certificates, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Share Certificates, etc. will be if the party exercises that Option, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction if the actual price of the Share Certificates, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Share Certificates, etc. will be if the party exercises that Option, or an Option similar to this);

十三　株券等に係る法第二条第二十二項第五号に掲げる取引　株券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの若しくは株券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの又はこれらに類似するもの

(xiii)　a transaction as set forth in Article 2, paragraph (22), item (v) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to receive the money if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, one in which the person in question will be the party to pay the money if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon, or one that is similar to either of these;

十四　株券等に係る法第二条第二十二項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの若しくは株券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの又はこれらに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの若しくは株券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの又はこれらに類似するものに限る。）の付与

(xiv)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the person to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, an Option whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar to these) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, an Option whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar to these);

十五　株券等に係る法第二条第二十二項第六号に掲げる取引　当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの又はこれに類似するもの

(xv)　a transaction as set forth in Article 2, paragraph (22), item (vi) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to pay the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or one that is similar to this; and

十六　株券等に係る法第二条第二十二項第六号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xvi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (vi) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this).

一　株券等に係る法第二条第二十一項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの

(i)　a transaction as set forth in Article 2, paragraph (21), item (ii) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to pay the money if the Actual Figure exceeds the Agreed Figure;

二　株券等に係る法第二条第二十一項第二号に掲げる取引（これに準ずる取引で金融商品取引所の定めるものを含む。以下この号において同じ。）に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに準ずるもので金融商品取引所の定めるものに限る。）の付与

(ii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph (or an equivalent transaction that a Financial Instruments Exchange specifies; hereinafter the same applies in this item) which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an equivalent Option that a Financial Instruments Exchange specifies) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an equivalent Option that a Financial Instruments Exchange specifies);

三　株券等の売買に係る法第二条第二十一項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において売主としての地位を取得するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において買主としての地位を取得するものに限る。）の付与

(iii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns the purchase and sale of Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Share Certificates, etc.) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer in the associated purchase and sale of Share Certificates, etc.);

四　株券等に係る法第二条第二十一項第四号に掲げる取引　株券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの又は株券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの

(iv)　a transaction as set forth in Article 2, paragraph (21), item (iv) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to pay the money if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, or in which the person in question would be the party to receive the money if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon;

五　株券等に係る法第二条第二十一項第四号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの又は株券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第四号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの又は株券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるものに限る。）の付与

(v)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (iv) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, or an Option whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to receive the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, or an Option whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (iv) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon);

六　株券等に係る法第二条第二十一項第五号に掲げる取引　当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの

(vi)　a transaction as set forth in Article 2, paragraph (21), item (v) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to receive the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs;

七　株券等に係る法第二条第二十一項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において当事者があらかじめ定めた同号イ又はロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるものに限る。）の付与

(vii)　a transaction as set forth in Article 2, paragraph (21), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person that exercises it to be the party to receive the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (v) if the cause set forth in (a) or (b) of that item that the parties agree upon in advance occurs);

八　株券等に係る外国市場デリバティブ取引　前各号に掲げる取引の区分に応じ、当該各号に定めるものと類似するもの

(viii)　a Foreign Market Derivatives Transaction in Share Certificates, etc.:　one that is similar to what one of the preceding items prescribes for the category of transaction set forth in that item;

九　株券等に係る法第二条第二十二項第二号に掲げる取引　現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するもの

(ix)　a transaction as set forth in Article 2, paragraph (22), item (ii) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to pay the money if the Actual Figure exceeds the Agreed Figure, or one that is similar to this;

十　株券等に係る法第二条第二十二項第二号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第二号に掲げる取引において現実数値が約定数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の付与

(x)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (ii) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (ii) of that paragraph if the Actual Figure exceeds the Agreed Figure, or an Option similar to this);

十一　株券等の売買に係る法第二条第二十二項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において売主としての地位を取得するもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る株券等の売買において買主としての地位を取得するもの又はこれに類似するものに限る。）の付与

(xi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns the purchase and sale of Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of seller in the associated purchase and sale of Share Certificates, etc. or an Option similar to this) and the granting of an Option (but only an Option whose exercise would cause the person exercising it to acquire the position of buyer in the associated purchase and sale of Share Certificates, etc. or an Option similar thereto);

十二　株券等に係る法第二条第二十二項第四号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該株券等の価格が当該行使をした場合の株券等の価格としてあらかじめ約定する数値を上回った場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る取引において現に当該行使をした時期における現実の当該株券等の価格が当該行使をした場合の株券等の価格としてあらかじめ約定する数値を上回った場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xii)　a transaction as set forth in Article 2, paragraph (22), item (iv) of the Act that concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction if the actual price of the Share Certificates, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Share Certificates, etc. will be if the party exercises that Option, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction if the actual price of the Share Certificates, etc. at the time the person exercises the Option exceeds the figure that the parties agree upon in advance as the price that the Share Certificates, etc. will be if the party exercises that Option, or an Option similar to this);

十三　株券等に係る法第二条第二十二項第五号に掲げる取引　株券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの若しくは株券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの又はこれらに類似するもの

(xiii)　a transaction as set forth in Article 2, paragraph (22), item (v) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to pay the money if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, one in which the person in question will be the party to receive the money if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon, or anything similar to one of these;

十四　株券等に係る法第二条第二十二項第五号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を支払う立場の当事者となるもの若しくは株券等の価格が取引の約定時点よりも下落した場合に金銭を受領する立場の当事者となるもの又はこれらに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第五号に掲げる取引において株券等の価格が取引の約定時点よりも上昇した場合に金銭を受領する立場の当事者となるもの若しくは株券等の価格が取引の約定時点よりも下落した場合に金銭を支払う立場の当事者となるもの又はこれらに類似するものに限る。）の付与

(xiv)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns a transaction as set forth in item (v) of that paragraph which concerns Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the person to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, an Option whose exercise would cause that person to be the party to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar to these) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the person to receive the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. rises above the price they are at the time the transaction is agreed upon, an Option whose exercise would cause that person to be the party to pay the money in the associated transaction as set forth in item (v) of that paragraph if the price of the Share Certificates, etc. falls below the price they are at the time the transaction is agreed upon, or an Option similar to these);

十五　株券等に係る法第二条第二十二項第六号に掲げる取引　当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの又はこれに類似するもの

(xv)　a transaction as set forth in Article 2, paragraph (22), item (vi) of the Act that concerns Share Certificates, etc.:　one in which the person in question will be the party to receive the money if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or one that is similar to this; and

十六　株券等に係る法第二条第二十二項第六号に掲げる取引に係る同項第三号に掲げる取引　オプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を受領する立場の当事者となるもの又はこれに類似するものに限る。）の取得及びオプション（当該オプションの行使により当該行使をした者が当該オプションに係る同項第六号に掲げる取引において当事者があらかじめ定めた同号イ若しくはロに掲げる事由が発生した場合に金銭を支払う立場の当事者となるもの又はこれに類似するものに限る。）の付与

(xvi)　a transaction as set forth in Article 2, paragraph (22), item (iii) of the Act that concerns the transactions set forth in item (vi) of that paragraph concerning Share Certificates, etc.:　the acquisition of an Option (but only an Option whose exercise would cause the person exercising it to be the party to receive the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this) or the granting of an Option (but only an Option whose exercise would cause the person exercising it to be the party to pay the money in the associated transaction as set forth in item (vi) of that paragraph if the cause set forth in (a) or (b) of that item that the parties have agreed upon in advance occurs, or an Option similar to this).

一　当該買集め行為により各年において買い集める株券等（令第三十一条に規定する株券等をいう。以下この条において同じ。）の数が当該株券等の発行者の総株主等の議決権の百分の二・五未満であるものに係ること。

(i)　related to those in which the number of Share Certificates, etc. (meaning the Share Certificates, etc. prescribed in Article 31 of the Order; hereinafter the same applies in this Article) bought up every year through the buying up is less than 2.5 percent of the Voting Rights Held by All Shareholders, etc. of the Issuer of the Share Certificates, etc.; or

二　有価証券関連業を行う金融商品取引業者（法第二十八条第一項に規定する第一種金融商品取引業を行うことにつき法第二十九条の登録を受けた者に限る。）が有価証券の流通の円滑を図るために顧客を相手方として行うものであって、当該買集め行為により買い集めた株券等を当該買集め行為後直ちに転売することとするものに係ること。

(ii)　related to those performed by a Financial Instruments Business Operator (limited to a person registered as referred to in Article 29 of the Act to engage in Type I Financial Instruments Business as prescribed in Article 28, paragraph (1) of the Act) engaged in a Securities-Related Business to facilitate the distribution of Securities with a customer as its counterparty in which the Share Certificates, etc. bought up through the buying up are to be resold immediately after the buying up.

一　上場等株券等（法第百六十七条第一項に規定する上場等株券等をいう。以下この条及び次条において同じ。）の法第二十七条の二第一項に規定する公開買付け（同項本文の規定の適用を受ける場合に限る。）の実施に関する事実の内容の伝達を受けた場合当該公開買付けに係る特定公開買付者等関係者（法第百六十七条第五項第八号に規定する特定公開買付者等関係者をいう。以下この条において同じ。）から伝達を受けた事項であって次に掲げるもの

(i)　if information has been received about the fact that the tender offer prescribed in Article 27-2, paragraph (1) of the Act (but only if the main clause of that paragraph applies) will be launched for Listed or Other Share Certificates, etc. (meaning Listed or Other Share Certificates, etc. as prescribed in Article 167, paragraph (1) of the Act; hereinafter the same applies in this Article and the following Article): The following particulars on which information was received from a Specified Person Concerned with a Tender Offer, etc. (meaning Specified Person Concerned with a Tender Offer, etc. as prescribed in Article 167, paragraph (5), item (viii) of the Act; hereinafter the same apply in this Article) associated with the tender offer:

二　令第三十一条に規定する買集め行為の実施に関する事実の内容の伝達を受けた場合当該買集め行為に係る特定公開買付者等関係者から伝達を受けた事項であって次に掲げるもの

(ii)　if information has been received about the fact that the buying up prescribed in Article 31 of the Order will be performed: The following particulars on which information was received from a Specified Person Concerned with a Tender Offer, etc. associated with the buying up:

三　上場株券等の法第二十七条の二十二の二第一項に規定する公開買付けの実施に関する事実の内容の伝達を受けた場合当該公開買付けに係る特定公開買付者等関係者から伝達を受けた事項であって次に掲げるもの

(iii)　if information has been received about the fact that the tender offer prescribed in Article 27-22-2, paragraph (1) of the Act will be launched for Listed Share Certificates, etc.: The following particulars on which information was received from a Specified Person Concerned with a Tender Offer, etc. associated with the tender offer:

一　公開買付け等事実を知る前に当該公開買付け等に係る上場等株券等又は上場株券等の発行者との間で当該発行者の発行する株券等に係る買付け等（法第百六十七条第一項に規定する買付け等をいう。第十号及び第十一号を除き、以下この項において同じ。）又は売付け等（法第百六十七条第一項に規定する売付け等をいう。以下この項において同じ。）に関し書面による契約をした者が、当該契約の履行として当該書面に定められた当該買付け等若しくは売付け等を行うべき期日又は当該書面に定められた当該買付け等若しくは売付け等を行うべき期限の十日前から当該期限までの間において当該買付け等又は売付け等を行う場合

(i)　one in which a person that has concluded a written contract for a Purchase, etc. (meaning a Purchase, etc. as prescribed in Article 167, paragraph (1) of the Act; hereinafter the same applies except in item (x) and item (xi)) or Sale, etc. (meaning a Sale, etc. as prescribed in Article 167, paragraph (1) of the Act; hereinafter the same applies in this paragraph) of Share Certificates, etc. issued by the Issuer of Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. with the Issuer before coming to know the Facts of the Tender Offer, etc. makes a Purchase, etc. or Sale, etc. in performance of the contract on the date for the Purchase, etc. or Sale, etc. that is specified in the written contract, or during a period from ten days prior to the time limit for the Purchase, etc. or Sale, etc. specified in the written contract until the time limit;

二　公開買付け等事実を知る前に金融商品取引業者との間で信用取引の契約を締結した者が、当該契約の履行として金融商品取引所又は認可金融商品取引業協会の定める売付け有価証券又は買付け代金の貸付けに係る弁済の繰延期限の十日前から当該期限までの間において反対売買を行う場合

(ii)　one in which a person that has concluded a contract for a Margin Transaction with a Financial Instruments Business Operator before coming to know the Facts of the Tender Offer, etc., makes a Reversing Trade in performance of the contract during a period from ten days prior to the deferred time limit for the performance of obligations associated with Securities for sale or the loan for purchase price specified by a Financial Instruments Exchange or Authorized Financial Instruments Firms Association;

三　公開買付け等事実を知る前に当該公開買付け等に係る株券等に係る法第二条第二十一項第五号又は第二十二項第六号に掲げる取引に関し書面による契約を締結した者が、同条第二十一項第五号イ若しくはロ又は第二十二項第六号イ若しくはロに掲げる事由が発生した場合に当該契約の履行として当事者の間において金銭を授受するとともに、当該株券等を移転する場合

(iii)　one in which a person that has concluded a written contract for a transaction as set forth in Article 2, paragraph (21), item (v) or paragraph (22), item (vi) of the Act that concerns the Share Certificates, etc. subject to a Tender Offer, etc. before coming to know the Facts of the Tender Offer, etc., both takes part in the payment and receipt of money between the parties and transfers the Share Certificates, etc. in performance of the contract in a case in which a cause as set forth in Article 2, paragraph (21), item (v), (a) or (b) or paragraph (22), item (vi), (a) or (b) of the Act has occurred;

四　公開買付け等に係る上場等株券等又は上場株券等の発行者の役員又は従業員（当該発行者が他の会社を直接又は間接に支配している場合における当該他の会社の役員又は従業員を含む。以下この号及び次号において同じ。）が当該発行者の他の役員又は従業員と共同して当該発行者の株券又は投資証券の買付けを行う場合（当該発行者が会社法第百五十六条第一項（同法第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定に基づき買い付けた株券以外のものを買い付けるときは、金融商品取引業者に委託等をして行う場合に限る。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各役員又は従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(iv)　one in which an officer or employee of the Issuer of the Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. subject to a Tender Offer, etc. (or an officer or employee of another company that the Issuer controls directly or indirectly; hereinafter the same applies in this item and the following item), jointly with another officer or employee of the Issuer, purchases share certificates or Investment Securities of the Issuer (but only if the purchase is made by a person's Entrusting, etc. a Financial Instruments Business Operator, etc. with doing so, in the event that the purchase is of share certificates other than those that the company has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including as applied following a deemed replacement of terms pursuant to Articles 165, paragraph (3) of the same Act)), and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each officer or employee contributes less than one million yen per occasion; the same applies in the following item);

五　公開買付け等に係る上場等株券等又は上場株券等の発行者の役員又は従業員が信託業を営む者と信託財産を当該発行者の株券又は投資証券に対する投資として運用することを目的として締結した信託契約に基づき、当該役員又は従業員が当該信託業を営む者に当該発行者の株券又は投資証券の買付けの指図を行う場合であって、当該買付けの指図が一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（当該役員又は従業員を委託者とする信託財産と当該発行者の他の役員又は従業員を委託者とする信託財産とが合同して運用される場合に限る。）

(v)　one in which an officer or employee of the Issuer of the Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. subject to a Tender Offer, etc., based on a trust contract concluded with a person engaged in Trust Business for the purpose of investing trust property in share certificates or Investment Securities of the Issuer, gives instructions for the purchase of share certificates or Investment Securities of the Issuer to the person engaged in Trust Business, and if purchases are made continuously according to a fixed plan without depending on an individual investment decision (but only if the trust property for which the settlor is the officer or employee and the trust property for which the settlor is another officer or employee of the Issuer are jointly invested);

六　公開買付け等に係る上場等株券等又は上場株券等の発行者である会社の関係会社の従業員が当該関係会社の他の従業員と共同して当該会社の株券の買付けを金融商品取引業者に委託等をして行う場合（第四号に掲げる場合を除く。）であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各従業員の一回当たりの拠出金額が百万円に満たない場合に限る。次号において同じ。）

(vi)　one in which an employee of an Associated Company of a company which is the Issuer of Listed or Other Share Certificates, etc. or of Listed Share Certificates, etc. associated with a Tender Offer, etc., jointly with another employee of the Associated Company, purchases share certificates of the company by Entrusting, etc. a Financial Instruments Business Operator with doing this (other than cases as set forth in item (iv)) and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each employee contributes less than one million yen per occasion; the same applies in the following item);

七　公開買付け等に係る上場等株券等又は上場株券等の発行者である会社の関係会社の従業員が信託業を営む者と信託財産を当該会社の株券に対する投資として運用することを目的として締結した信託契約に基づき、当該従業員が当該信託業を営む者に当該会社の株券の買付けの指図を行う場合（第五号に掲げる場合を除く。）であって、当該買付けの指図が一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（当該従業員を委託者とする信託財産と当該関係会社の他の従業員を委託者とする信託財産とが合同して運用される場合に限る。）

(vii)　one in which an employee of an Associated Company of a company which is the Issuer of Listed or Other Share Certificates, etc. or of Listed Share Certificates, etc. subject to a Tender Offer, etc., based on a trust contract concluded with a person engaged in Trust Business for the purpose of investing trust property in share certificates of the company, gives instructions for the purchase of share certificates of the company to the person engaged in Trust Business (excluding cases set forth in item (v)), and if purchases are made continuously according to a fixed plan without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is the employee and the trust property for which the settlor is another employee of the Associated Company are jointly invested);

八　公開買付け等に係る上場等株券等又は上場株券等の発行者である会社の取引関係者（当該会社の指定する当該会社と取引関係にある者（法人その他の団体にあってはその役員を含み、個人にあってはその事業に関して当該会社と取引関係にある場合に限る。）をいう。以下この号において同じ。）が当該会社の他の取引関係者と共同して当該会社の株券の買付けを金融商品取引業者に委託等をして行う場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各取引関係者の一回当たりの拠出金額が百万円に満たない場合に限る。）

(viii)　one in which a Person Who Has a Transaction Relationship with the company that is the Issuer of Listed or Other Share Certificates, etc. or of Listed Share Certificates, etc. subject to a Tender Offer (meaning a person that has a transaction relationship with the company as designated by the company (or that person's officers, if the person is a corporation or any other type of organization; if the person is an individual, this applies only if that individual has a transaction relationship with the company in connection with that individual's business); hereinafter the same applies in this item), jointly with another Person Who Has a Transaction Relationship with the company, purchases share certificates of the company, etc. by Entrusting, etc. a Financial Instruments Business Operator with doing so, and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each Person Who Has a Transaction Relationship contributes less than one million yen per occasion);

八の二　公開買付け等に係る上場等株券等の発行者である投資法人の資産運用会社又はその特定関係法人の役員又は従業員が当該資産運用会社又は当該特定関係法人の他の役員又は従業員と共同して当該投資法人の投資証券の買付けを金融商品取引業者に委託等をして行う場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各役員又は従業員の一回当たりの拠出金額が百万円に満たない場合に限る。）

(viii)-2　one in which an officer or employee of an Asset Management Company of an Investment Corporation that is an Issuer of Listed or Other Share Certificates, etc. subject to a Tender Offer, etc. or a Corporation in Specified Relationship therewith, jointly with another officer or employee of the Asset Management Company or the Corporation in Specified Relationship, purchases Investment Securities of the Investment Corporation by Entrusting, etc. a Financial Instruments Business Operator with doing this, and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if each officer or employee is to contribute less than one million yen per occasion);

九　累積投資契約により公開買付け等に係る上場等株券等又は上場株券等の発行者の発行する株券又は投資証券の買付けが金融商品取引業者に委託等をして行われる場合であって、当該買付けが一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合（各顧客の一銘柄に対する払込金額が一月当たり百万円に満たない場合に限る。）

(ix)　one in which share certificates or Investment Securities of the Issuer of Listed or Other Share Certificates, etc. or of Listed Share Certificates, etc. subject to a Tender Offer are purchased by a person's Entrusting, etc. a Financial Instruments Business Operator with doing so pursuant to a Contract for Cumulative Investment, and in which such purchases are made continuously according to a fixed plan rather than being based on individual investment decisions (but only if the amount to be paid in for one issue by each customer is less than one million yen per month);

十　公開買付け等事実を知る前に法第二十七条の三第二項の規定に基づく公開買付開始公告を行った法第二十七条の二第一項に規定する公開買付けの計画に基づき買付け等（同項に規定する買付け等をいう。）を行う場合

(x)　one in which a person makes a Purchase, etc. (meaning a Purchase, etc. as prescribed in Article 27-2, paragraph (1) of the Act) in accordance with a plan for a tender offer as prescribed in Article 27-2, paragraph (1) of the Act for which the person has issued a Public Notice for Commencing Tender Offer under Article 27-3, paragraph (2) of the Act before coming to know the Facts of the Tender Offer, etc.;

十一　公開買付け等事実を知る前に法第二十七条の二十二の二第二項において準用する法第二十七条の三第二項の規定に基づく関東財務局長への届出をした法第二十七条の二十二の二第一項に規定する公開買付けの計画に基づき買付け等（同項に規定する買付け等をいう。）を行う場合

(xi)　one in which a person makes a Purchase, etc. (meaning a Purchase, etc. as prescribed in Article 27-22-2, paragraph (1) of the Act) in accordance with a plan for a tender offer as prescribed in Article 27-22-2, paragraph (1) of the Act that the person filed with the Director General of the Kanto Finance Bureau in accordance with Article 27-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act before coming to know the Facts of the Tender Offer, etc.;

十二　公開買付け等事実を知る前に発行者の同意を得た上場等株券等の売出し若しくは特定投資家向け売付け勧誘等に係る計画又は令第三十条に定める公表の措置に準じ公開された上場等株券等の売出し若しくは特定投資家向け売付け勧誘等に係る計画に基づき上場等株券等の売出し（金融商品取引業者が売出しの取扱いを行うものに限る。）又は特定投資家向け売付け勧誘等（金融商品取引業者が特定投資家向け売付け勧