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。

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

三の二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。

(iii)-2Solicitation for Selling, etc. Only for Professional Investors:Solicitation for Selling, etc. Only for Professional Investors as prescribed in Article 2, paragraph (6) of the Act;

三の三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。

(iii)-3Foreign Financial Instruments Market:a Foreign Financial Instruments Market as prescribed in Article 2, paragraph (8), item (iii), sub-item (b) of the Act;

四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。

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

五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。

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

五の二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。

(v)-2Solicitation for Acquisition Only for Professional Investors:Solicitation for Acquisition only for Professional Investors as prescribed in Article 4, paragraph (3), item (i) of the Act;

六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。

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

七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。

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

七の二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。

(vii)-2Specified Information on Securities, etc.:Specified Information on Securities, etc. as prescribed in Article 27-33 of the Act;

八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。

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

九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。

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

十委託等法第四十四条第一号に規定する委託等をいう。

(x)Entrustment, etc.:Entrustment, etc. prescribed in Article 44, item (i) of the Act;

十一会員等法第五十六条の四第一項に規定する会員等をいう。

(xi)Member, etc.:a Member, etc. as prescribed in Article 56-4, paragraph (1) of the Act;

十二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。

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

十二の二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。

(xii)-2Tradable Securities:Tradable Securities as prescribed in Article 67-18, item (iv) of the Act;

十三上場等株券法第百六十二条の二に規定する上場等株券をいう。

(xiii)Listed or Over-the-Counter Traded Share Certificates:the Listed or Over-the-Counter Traded Share Certificates prescribed in Article 162-2 of the Act;

十四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。

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

十五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。

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

十六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。

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

十七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。

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

十八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。

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

十九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。

(xix)Listed or Other Share Certificates, etc.:Listed or Other Share Certificates, etc. as prescribed in Article 167, 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 Ordinance on Security Deposits and Transactions, Provided in Article 161-2 of the Financial Instruments and Exchange Act (Ordinance of the Ministry of Finance No. 75 of 1953; referred to as the "Ordinance on Security Deposits" in the following item); and

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:When Issued Transaction as prescribed in Article 1, paragraph (2) of the Ordinance 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)-2Beneficiary Certificate of Securities in Trust:a Beneficiary Certificate 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)-3Entrusted 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. who 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 said 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 who 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 said Authorized Financial Instruments Firms Association, pursuant to the rules specified by said 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 Option: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:the Related Securities which indicate Options subject to sale and purchase of Specified Securities (limited to the Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of the Specified Securities related to said Options) (limited to the Related Securities set forth in Article 27-4, item (iii) of the Order);

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.:the Related Share Certificates, etc. set forth in Article 33-2, item (iii) of the Order which indicate the Options subject to the sale and purchase of Regulated Share Certificates, etc. (meaning the Regulated Share Certificates, etc. prescribed in Article 167, paragraph (1) of the Act; hereinafter the same shall apply in this item) (limited to the Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of the Regulated Share Certificates, etc. related to said Options);

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 obtained by deducting the total amount of book value of the debt from the amount of book value of the total assets (in cases where such an amount is less than zero, such amount shall be zero);

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 location of the head office of the Financial Instruments Business Operator that effected the stabilization transaction (in cases where the Financial Instruments Business Operator is a foreign juridical person, its principal business office or office in Japan; the same shall apply 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)if there is a Financial Instruments Business Operator that effected a stabilizing transaction jointly with the Financial Instruments Business Operator that effected said stabilizing transaction, its trade name and the location of its head office;

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)in cases where the Securities subject to the stabilizing transaction are Listed Securities, the following matters:

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)in cases where the Securities subject to the stabilizing transaction are Over-the-Counter Traded Securities, the following matters:

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 for which the Public Offering or Solicitation of Acquisition Only for Professional Investors, or the Secondary Distribution or Solicitation for Selling Only for Professional Investors is intended to be facilitated through a stabilizing transaction (in the case of corporate bond certificates with share options, the issue price and features or the distribution price of the 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 said stabilizing transaction; and

十その他参考となるべき事項

(x)any other matters which would serve as reference information.

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)the Short Selling transactions 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（法第二条第一項第十一号に掲げる外国投資証券及び同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（以下この号及び第十条第四号において「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)the Short Selling transactions conducted by a Member, etc. of the Financial Instruments Exchange for the Securities listed on a Financial Instruments Exchange (limited to the Foreign Investment Securities set forth in Article 2, paragraph (1), item (xi) of the Act and the Securities set forth in item (xvii) of that paragraph which have the nature of share certificates (hereinafter collectively referred to as the "Foreign Investment Securities, etc." in this item), and which are Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are Foreign Investment Securities, etc., and the Securities set forth in item (xx) of that paragraph which indicate the rights pertaining to Foreign Investment Securities, etc.) on his/her own account, which accompany, in relation to such transactions, a transaction for the purchase of the Securities subject to said Short Selling by said Member, etc. in a Foreign Financial Instruments Market (in cases where the Securities pertaining to said Short Selling are Beneficiary Certificates of Securities in Trust, the acquisition of the Beneficiary Certificates of Securities in Trust by entrusting the Securities of the same issue as the Entrusted Securities pertaining to said Beneficiary Certificate of Securities in Trust and are already held or to be purchased in a Foreign Financial Instruments Market by said Member, etc. shall be included, and in cases where the Securities subject to said Short Selling are the Securities set forth in Article 2, paragraph (1), item (xx) of the Act (hereinafter referred to as the "Depository Receipt" in this item and Article 10, item (iv)), the acquisition of the Depository Receipt by entrusting the Securities of the same issue name as the Securities related to the right indicated on the Depository Receipt and which are already held or to be purchased on a Foreign Financial Instruments Market by said Member, etc. shall be included) (limited to 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 Short Selling transaction made by a Market Maker on his/her own account in the Financial Instruments Exchange Market on which he/she quotes sale prices, based on such sale quotes;

六買い付けた有価証券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)among transactions for the sale of the purchased Securities whose settlement has yet to be completed, the transactions wherein the settlement of said sales is to be made with said purchased Securities;

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)the sale of the loaned Securities (excluding those borrowed) which is a transaction for the sale of such Securities in cases where it is clear that such Securities will be returned prior to the settlement thereof;

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。以下この章及び第十七条において同じ。）によらない売買による空売りを行う取引

(viii)a Short Selling transaction made through, among the sales and purchases on a Financial Instruments Exchange Market, a sale and purchase conducted outside of the trading session (including the trading sessions of only a morning trading session or afternoon trading session; hereinafter the same shall apply in this Chapter and Article 17) specified in the operational rules of the Financial Instruments Exchange which establishes said Financial Instruments Exchange Market;

九次に掲げる有価証券に付与された株券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

(ix)where the right to acquire share certificates attached to the following Securities has been exercised, transactions for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificates to be acquired as a result of the exercise of such rights:

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)in cases where the Issuer of Securities exercises the right attached to the Share Certificates subject to Call, the transactions for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificates to be acquired as a result of the exercise of such 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である会社以外の会社が発行した株券（以下この章において「対象株券」という。）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（以下この章において「他社株券償還特約付社債券」という。）について、当該社債券が当該株券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

(xi)with regard to corporate bond certificates (including the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of corporate bond certificates, and excluding corporate bond certificates with share options (including the Securities set forth in that item which have the nature of corporate bond certificates with share options)) with a special provision that allows the redemption of such corporate bond certificates through the share certificates issued by a company other than the Issuer of such corporate bond certificates (hereinafter referred to as the "Subject Share Certificates" in this Chapter) (hereinafter referred to as the "Corporate Bond Certificates With Special Provisions Allowing the Redemption By the Share Certificates of Another Company" in this Chapter), when it has been decided that said corporate bond certificates will be redeemed by said Share Certificates, the transaction for the sale of the share certificates of the same issue as, and within the scope of the volume of the share certificates to be redeemed;

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、第十六号に規定する投資信託受益証券に係る受益権の分割及び投資証券に係る投資口の分割（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、第十六号に規定する投資信託受益証券に係る受益権及び投資証券に係る投資口（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)in cases where the Issuer of Securities conducts a share split, split of Preferred Equity Investment (meaning Preferred Equity Investment as prescribed in the Act on Preferred Equity Investment; the same shall apply hereinafter) for Preferred Equity Investment Certificates, a split of beneficial interest pertaining to a beneficiary certificate of an investment trust as prescribed in item (xvi), or a split of investment equity pertaining to Investment Securities as prescribed in item (xvi) (hereinafter collectively referred to as the "Share Split, etc." in this item), an Allotment of Shares without Contribution (meaning Allotment of Shares without Contribution as prescribed in Article 185 of the Companies Act; the same shall apply hereinafter), a merger, a company split, a share exchange, or a share transfer, the transaction for the sale of Securities of the same issue as, and within the scope of the volume of, the share certificates, Preferred Equity Investment, beneficial interest pertaining to a beneficiary certificate of an investment trust, or investment equity pertaining to Investment Securities which is allotted through such Share Split, etc., Allotment of Shares without Contribution, merger, company split, share exchange, or share transfer (hereinafter referred to as the "Shares, etc." in this item);

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 who has responded to the Public Offering or Secondary Distribution, Solicitation for Acquisition Only for Professional Investors, or Solicitation for Selling Only for Professional Investors, etc., conducts the sales of Securities of the same issue as, and within the scope of the volume of the Securities to be acquired as a result of such Public Offering or Secondary Distribution, or Solicitation for Acquisition Only for Professional Investors Solicitation for Selling;

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 for the sale of Securities of the same issue as, and within the scope of the volume of, the Securities purchased through a When Issued Transaction, prior to the transfer of such Securities;

十五空売り（令第二十六条の二の二第一項第二号に規定する空売りに限る。第十条第十五号及び第十一条第十三号において同じ。）を行う取引であって、次に掲げる理由により行う取引

(xv)the Short Selling (limited to the Short Selling prescribed in Article 26-2-2, paragraph (1), item (ii) of the Order; the same shall apply in Article 10, item (xv) and Article 11, item (xiii)) transaction which are conducted for any of the following reasons:

十六法第二条第一項第十号に掲げる投資信託の受益証券（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）第四条第一項に規定する投資信託約款において、投資信託及び投資法人に関する法律施行令（平成十二年政令第四百八十号。以下「投信法施行令」という。）第十二条第二号イに掲げる旨を定めている投資信託に係るものに限る。以下この章において「投資信託受益証券」という。）に係る次に掲げる取引

(xvi)the following transactions related to the beneficiary certificate of an investment trust set forth in Article 2, paragraph (1), item (x) of the Act (limited to those pertaining to the Investment Trust which provides to the effect as set forth in Article 12, item (ii), sub-item (a) of the Order for Enforcement of the Act on Investment Trust and Investment Corporations (Cabinet Order No. 480 of 2000; hereinafter referred to as the "Enforcement Order of the Investment Trust Act") in its basic terms and conditions for an investment trust prescribed in Article 4, paragraph (1) of the Act on Investment Trust and Investment Corporations (Act No. 198 of 1951); hereinafter referred to as the "Beneficiary Certificate of an Investment Trust" in this Chapter):

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、法第二条第一項第十号に掲げる外国投資信託の受益証券（投資信託受益証券に類するものに限る。以下この章において「外国投資信託受益証券」という。）、投資証券、有価証券信託受益証券で外国投資信託受益証券を受託有価証券とするもの又は同項第二十号に掲げる有価証券で外国投資信託受益証券に係る権利を表示するものにつき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)among the transactions in which a Member, etc. of the Financial Instruments Exchange conducts Short Selling on his/her own account with regard to the Beneficiary Certificate of an Investment Trust listed on said Financial Instruments Exchange, a beneficiary certificate of a foreign investment trust set forth in Article 2, paragraph (1), item (x) of the Act (limited to those similar to a Beneficiary Certificate of an Investment Trust; hereinafter referred to as the "Beneficiary Certificate of a Foreign Investment Trust" in this Chapter), Investment Securities, Beneficiary Certificate of Securities in Trust of which the Entrusted Securities are the Beneficiary Certificate of a Foreign Investment Trust, or the Securities set forth in Article 2, paragraph (1), item (xx) of the Act which indicate the rights pertaining to Beneficiary Certificate of a Foreign Investment Trust, those set forth in the following sub-items:

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)in cases where a Member, etc. of a Financial Instruments Exchange has promised to its customer to purchase the Securities held by said customer (excluding those borrowed and the Securities prescribed in Article 26-2 of the Order if the case falls under the case prescribed in said Article) at the following price through a sale and purchase conducted outside the Financial Instruments Exchange Market or the trading session specified in the operational rules of the Financial Instruments Exchange, a Short Selling transaction of the Securities of the same issue as, and within the scope of the volume of, said Securities to be conducted by such Member, etc. on his/her own account (excluding the transaction set forth in item (iii) only in cases where sell orders will be executed in accordance with the program set in advance and the transaction 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

(xx)a transaction to be conducted using the relationship between the trading price of the following Securities and the trading price of the share certificates which are to be acquired by exercising the right attached to said Securities, in which a new purchase of said Securities as well as the sale of share certificates of the same issue as and within the scope of the volume of said share certificates is to be conducted:

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

(xxi)a transaction of sales of share certificates of the same issue as, and within the scope of the volume of the share certificates which are to be acquired through the exercise of the rights attached to the following Securities which is to be conducted to reduce any potential risks arising from fluctuations of prices in relation to the outstanding balance of purchase of the respective Securities (including cases where the right to acquire said Securities has been granted by the Issuer of said 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（以下この号及び第十四条第六号において「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。以下この条及び第十四条において「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。以下この条及び第十四条において同じ。）をいう。以下この条及び第十四条において同じ。）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)the following transactions which are to be conducted by using the relationship between the level of the Agreed Amount or Agreed Figure (meaning an Agreed Figure as prescribed in Article 2, paragraph (21), item (ii) of the Act; the same shall apply hereinafter) pertaining to the transactions set forth in Article 2, paragraph (21), item (i) of the Act, concerning Securities (hereinafter referred to as the "Securities Futures Transaction" in this item and Article 14, item (vi)) or the transactions set forth in Article 2, paragraph (21), item (ii) of the Act pertaining to Securities (including foreign market derivatives transactions similar thereto; hereinafter referred to as the "Securities Index Futures Transactions" in this Article and Article 14) and the level of 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 shall apply in this Article and Article 14) related to Securities Futures Transactions; hereinafter the same shall apply in this Article and Article 14) (including equivalent transactions conducted by using the transactions set forth in Article 2, paragraph (21), item (iii) of the Act pertaining to Securities Index, etc. and excluding the transactions 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 for the sale of multiple Securities of different issues (limited to the Securities which are selected so that the fluctuations in the total value of said Securities approximate the fluctuations of the Securities Index, etc. related to the Long-Securities Index Futures Transactions, etc.) within the scope of the transaction contract balance of Long-Securities Index Futures Transactions, etc. (limited to the transaction contract balance remaining after the deduction of the transaction contract balance of the Short-Securities Index Futures Transactions, etc., corresponding to said Long-Securities Index Futures Transactions, etc. and the amount of the transactions set forth in sub-item (a) and sub-item (b) of the preceding item pertaining to the Long-Securities Index Futures Transactions, etc.) which is to be conducted in order to reduce any potential risks arising from fluctuations of prices related to said transaction contract balance of the Long-Securities Index Futures Transactions, etc. (including transactions equivalent thereto which are conducted in connection with the transactions set forth in Article 2, paragraph (21), item (iii) of the Act pertaining to Securities Index and excluding 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（以下この条及び第十四条において「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 to be conducted using the relationship between the Exercise Price (meaning the price pertaining to the transaction which is established by a unilateral manifestation of intention by one of the parties) and the amount receivable for the transactions set forth in Article 2, paragraph (21), item (iii) of the Act, concerning Securities (hereinafter referred to as the "Securities Options Trading" in this Article and Article 14) and the trading price of Securities, in which a party acquires the right to purchase Securities or grants the right to sell Securities by newly conducting a Securities Options Trading, and conducts sales of the Securities of the same issue as, and within the scope of the volume of, the respective Securities which are to be acquired when the party exercises said right or said right is exercised (excluding the transactions 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)in cases where a party has acquired the right to purchase or granted the right to sell Securities through a Securities Options Trading, a transaction for the sale of the Securities of the same issue as, and within the scope of the volume of, the Securities which are to be purchased in cases where the party exercises said right or said right has been exercised, in order to reduce any potential risks arising from fluctuations in the amount receivable for the Securities Options Trading (limited to the volume remaining after the deduction of the volume of Securities which are to be sold by exercising the right or as a result of such right being exercised in cases where the party has acquired the right to sell or granted the right to purchase said Securities through Securities Options Trading and the volume of the transaction set forth in preceding item related to the Securities of the same issue as the respective Securities) (excluding the transactions set forth in item (iii));

二十六投資信託受益証券の約定価額の水準と当該投資信託受益証券と同一の金利、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の売付けを行う取引

(xxvi)a transaction to be conducted using the relationship between the level of the Agreed Amount of a Beneficiary Certificate of an Investment Trust and the level of the Agreed Amount of another Beneficiary Certificate of an Investment Trust which is 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 said Beneficiary Certificate of an Investment Trust, in which a new purchase of the Beneficiary Certificate of an Investment Trust, as well as the sale of said other Beneficiary Certificate of an Investment Trust within the scope of the purchase value thereof is to be conducted;

二十七投資信託受益証券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 Amount and the level of the Indicator of a Beneficiary Certificate of an Investment Trust in which a new purchase of said Beneficiary Certificate of an Investment Trust as well as the sale of the Indicator Linked Securities (meaning the Securities which are selected so that the fluctuations in the total value of such Securities approximate the fluctuations of the Indicator pertaining to said Beneficiary Certificate of an Investment Trust; hereinafter the same shall apply in this item to item (xxxii) inclusive) within scope of the purchase value is to be conducted (in cases where said Indicator Linked Securities are multiple Securities of different issues, this shall be limited to the sales of said multiple Securities of different issues; the same shall apply in the following item and item (xxxi) and item (xxxii)) (excluding the transactions set forth in item (iii));

二十八投資信託受益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 of the sale of Indicator Linked Securities conducted within the scope of the purchase value thereof in order to reduce any potential risk arising from the fluctuations of prices pertaining to the purchase balance of a Beneficiary Certificate of an Investment Trust (excluding the 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)the following transactions conducted by using the relationship between the level of the Agreed Figure or level of the Indicator pertaining to the Securities Index Futures Transactions and the level of Agreed Amount of a Beneficiary Certificate of an Investment Trust:

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の売付けを行う取引

(xxx)a transaction for the sale of a Beneficiary Certificate of an Investment Trust within the scope of the transaction contract balance of a Long-Securities Index Futures Transactions (limited to the transaction contract balance remaining after the deduction of the transaction contract balance of Short-Securities Index Futures Transactions corresponding thereto and the amount of the transactions set forth in item (xxii), sub-items (a) and (b) pertaining to the same Long-Securities Index Futures Transactions as the respective Long-Securities Index Futures Transactions) 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 pertaining to the transaction contract balance of the Long-Securities Index Futures Transactions or the purchase balance of the Indicator Linked Securities;

三十一投資信託受益証券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、投資信託受益証券に係る法第二条第二十一項第三号に掲げる取引（次号及び第十四条において「投資信託受益証券オプション取引」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の価額（当該投資信託受益証券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 to be conducted using the relationship between the price level and the Index level of a Beneficiary Certificate of an Investment Trust, in which the right to purchase a Beneficiary Certificate of an Investment Trust is acquired or the right to sell a Beneficiary Certificate of an Investment Trust is granted by newly conducting the transactions set forth in Article 2, paragraph (21), item (iii) of the Act pertaining to the Beneficiary Certificate of an Investment Trust (referred to as "Option Trading of a Beneficiary Certificate of an Investment Trust" in the following item and Article 14), and sales of the Indicator Linked Securities are made within the limit of the amount of the Beneficiary Certificate of an Investment Trust which is to be acquired when a party exercises such right or such right has been exercised (limited to the amount remaining after the deduction of the amount of the transaction set forth in item (xxiv) pertaining to the same issue of said Beneficiary Certificate of an Investment Trust) (excluding the transactions set forth in item (iii));

三十二投資信託受益証券オプション取引により投資信託受益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の価額（投資信託受益証券オプション取引により当該投資信託受益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投資信託受益証券の価額、当該投資信託受益証券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)in cases where a party has acquired the right to purchase or granted the right to sell Securities through Option Trading of a Beneficiary Certificate of an Investment Trust, a transaction for the sale of the Indicator Linked Securities within the value of the Beneficiary Certificate of an Investment Trust which is to be purchased in cases where the party exercises said right or said right has been exercised, which are conducted in order to reduce any potential risks arising from fluctuations in the price of the Beneficiary Certificate of an Investment Trust, (limited to the amount remaining after the deduction of the amount of Beneficiary Certificate of an Investment Trust which are to be sold by exercising the right or as a result of such right being exercised in cases where the party has acquired the right to purchase or granted the right to sell the Beneficiary Certificate of an Investment Trust through Option Trading of a Beneficiary Certificate of an Investment Trust, the amount of the transaction set forth in item (xxiv) and item (xxv) pertaining to the same issue as the Beneficiary Certificate of an Investment Trust, and the amount of the transaction set forth in the preceding item pertaining to the Indicator Linked Securities) (excluding the transactions set forth in item (iii));

三十三取引所金融商品市場における次のイからホまでに掲げる有価証券の価格をそれぞれ当該イからホまでに定める指標に平準化するための当該有価証券の売付けを行う取引

(xxxiii)a transaction for the sale of the Securities set forth in the following sub-item (a) to sub-item (e) inclusive on the Financial Instruments Exchange Market in order to equalize the prices of such Securities with the level of the Indicator specified in the respective sub-item (a) to sub-item (e) inclusive:

三十四合併、株式交換又は株式移転（以下この章において「合併等」という。）を決定した会社の発行した株券（以下この章において「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（以下この章において「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 Amount of Share Certificates issued by the company which has decided a merger, share exchange, or share transfer (hereinafter collectively referred to as the "Merger, etc." in this Chapter) (hereinafter referred to as "Share Certificates of a Merging, etc. Company" in this Chapter) and the level of the Agreed Amount of shares issued by another company which implements a Merger, etc. with said company (hereinafter referred to as "Share Certificates of a Merged, etc. Company" in this Chapter) based on the ratio of Merger, etc., in which a new purchase of Share Certificates of a Merging, etc. Company as well as the sale of Share Certificates of a Merged, etc. Company within the scope of the purchase value is to be conducted (limited to the cases in which the date of Merger, etc. and the ratio of Merger, etc. have been decided, and such 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 Short Selling transaction for the Securities of which the number is less than the trading unit specified by the Financial Instruments Exchange which establishes the 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 for the sale of the Securities to be made in order to equalize the price of said Securities in a Financial Instruments Exchange Market with the price of said Securities in a Financial Instruments Exchange Market established by another Financial Instruments Exchange.

一発行日取引

(i)a When Issued Transaction;

二次に掲げる有価証券につき空売りを行う取引

(ii)a Short Selling transaction for the following Securities:

三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

(iii)a Short Selling transaction made by an Over-the-Counter Market Maker on his/her own account in the Financial Instruments Exchange Market on which he/she quotes sale prices, based on such sale quotes;

四買い付けた店頭売買有価証券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

(iv)among transactions for the sale of the purchased Over-the-Counter Traded Securities whose settlement has yet to be completed, the transactions wherein the settlement of said sales is to be made with said purchased Over-the-Counter Traded Securities;

五貸し付けている店頭売買有価証券（借り入れたものを除く。）の売付けであって、その決済前に当該店頭売買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店頭売買有価証券の売付けを行う取引

(v)the sale of the loaned Over-the-Counter Traded Securities (excluding those borrowed), which is a transaction for the sale of such Over-the-Counter Traded Securities in cases where it is clear that such Over-the-Counter Traded Securities will be returned prior to the settlement thereof;

六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

(vi)a Short Selling transaction of Over-the-Counter Traded Securities to be effected outside the trading hours of Over-the-Counter Traded Securities through the system for transactions of an Over-the-Counter Traded Securities Market according to the relevant rules specified by the Authorized Financial Instruments Firms Association in which the Over-the-Counter Traded Securities Market is established;

七次に掲げる有価証券に付与された株券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

(vii)where the right to acquire share certificates attached to the following Securities has been exercised, the transactions for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificates to be acquired as a result of the exercise of such right:

八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

(viii)in cases where the Issuer of Securities has exercised the right attached to the Share Certificate subject to Call, the transactions for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificate to be acquired as a result of the exercise of such right;

九他社株券償還特約付社債券について、当該他社株券償還特約付社債券が対象株券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対象株券の数量の範囲内で当該対象株券と同一の銘柄の株券の売付けを行う取引

(ix)with regard to the Corporate Bond Certificates With Special Provisions Allowing the Redemption By the Share Certificates of Another Company, when it has been decided that Corporate Bond Certificates With Special Provisions Allowing the Redemption By the Share Certificates of Another Company will be redeemed by Subject Share Certificates, the transaction for the sale of the share certificates of the same issue as, and within the scope of the volume of, the Subject Share Certificates to be redeemed;

十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の分割、投資信託受益証券に係る受益権の分割及び投資証券に係る投資口の分割（以下この号において「株式分割等」という。）、株式無償割当て、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、投資信託受益証券に係る受益権及び投資証券に係る投資口（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

(x)in cases where the Issuer of Securities conducts a share split, a split of Preferred Equity Investment for Preferred Equity Investment Certificates, a split of beneficial interest pertaining to a Beneficiary Certificate of an Investment Trust, or a split of investment equity pertaining to Investment Securities (hereinafter collectively referred to as a "Share Split, etc." in this item), an Allotment of Shares without Contribution, a merger, a company split, a share exchange, or a share transfer, the transactions for the sale of the Securities of the same issue as, and within the scope of the volume of, the share certificates, Preferred Equity Investment, beneficial interest pertaining to a Beneficial Certificate of an Investment in Trust, or investment equity pertaining to Investment Securities (hereinafter referred to as the "Shares, etc." in this item) which are allotted through such Share Split, etc., Allotment of Shares without Contribution, merger, company split, share exchange, or share transfer;

十一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

(xi)a transaction in which a person who has responded to a Public Offering or Secondary Distribution of Securities, Solicitation for Acquisition Only for Professional Investors, or Solicitation for Selling Only for Professional Investors, etc., conducts the sale of the Securities of the same issue as, and within the scope of the volume of, the Securities to be acquired as a result of such Public Offering or Secondary Distribution, Solicitation for Acquisition Only for Professional Investors, or Solicitation for Selling Only for Professional Investors, etc.;

十二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

(xii)a transaction for the sale of Securities of the same issue as, and within the scope of the volume of, the Securities purchased through a When Issued Transaction, prior to the transfer of such Securities;

十三空売りを行う取引であって、次に掲げる理由によるもの

(xiii)a Short Selling transaction which is to be conducted on any of following grounds:

十四信用取引

(xiv)a Margin Transaction;

十五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

(xv)a transaction to be conducted using the relationship between the trading price of the following Securities and the trading price of the share certificate which is to be acquired by exercising the right attached to the respective Securities, in which a new purchase of the relevant Securities, as well as the sale of share certificates of the same issue as, and within the scope of the volume of, the relevant share certificates, is to be conducted:

十六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

(xvi)a transaction for the sale of share certificates of the same issue as, and within the scope of the volume of, the share certificate which is to be acquired through the exercise of the rights attached to the following Securities, which is to be conducted in order to reduce any potential risks arising from fluctuations in the prices related to the outstanding balance of purchase of the respective Securities (including cases where the right to acquire said Securities has been granted by the Issuer of said Securities):

十七合併等会社株券の約定価額の水準と被合併等会社株券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。）

(xvii)a transaction to be conducted using the relationship between the level of the Agreed Amount of Share Certificates of a Merging, etc. Company and the level of the Agreed Amount of Share Certificates of a Merged, etc. Company based on the ratio of the Merger, etc., in which a new purchase of Share Certificates of a Merging, etc. Company as well as a sale of Share Certificates of a Merged, etc. Company within the scope of the purchase value is to be conducted (limited to the case in which the date of Merger, etc. and the ratio of Merger, etc. have been decided, and such information has been made public);

十八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

(xviii)a Short Selling transaction of Over-the-Counter Securities of which the volume is less than the published trading unit specified by the Authorized Financial Instruments Firms Association which establishes an Over-the-Counter Securities Market;

十九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

(xix)a transaction for the sale of the Over-the-Counter Securities to be made in order to equalize the price of Over-the-Counter Traded Securities in an Over-the-Counter Securities Market with the price of said Over-the-Counter Traded Securities in an Over-the-Counter Securities Market established by another Authorized Financial Instruments Firms Association.

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 Short Selling transaction 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（法第二条第一項第十一号に掲げる外国投資証券及び同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預託証券である場合には、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 Short Selling transaction conducted by a Member, etc. of a Financial Instruments Exchange for the Securities listed on said Financial Instruments Exchange (limited to the Foreign Investment Securities set forth in Article 2, paragraph (1), item (xi) of the Act and the Securities set forth in item (xvii) of that paragraph, which have the nature of share certificates (hereinafter collectively referred to as the "Foreign Investment Securities, etc." in this item) which are Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are Foreign Investment Securities, etc., and the Securities set forth in item (xx) of that paragraph which indicate the right pertaining to Foreign Investment Securities, etc.) on his/her own account, which accompany, in relation to such transaction, a transaction for the purchase of Securities subject to said Short Selling by said Member, etc. on a Foreign Financial Instruments Market (in cases where the Securities subject to said Short Selling are Beneficiary Certificates of Securities in Trust, the acquisition of the Beneficiary Certificates of Securities in Trust by entrusting Securities of the same issue as the Entrusted Securities pertaining to said Beneficiary Certificates of Securities in Trust already held or to be purchased in the Foreign Financial Instruments Market by said Member, etc. shall be included, and in cases where the Securities subject to said Short Selling are Depository Receipts, the acquisition of such Depository Receipts by entrusting the Securities of the same issue as the Securities related to the right indicated in said Depository Receipt which are already held or to be purchased on the Foreign Financial Instruments Market by said Member, etc. shall be included) (limited to those specified 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 Short Selling transaction made by a Market Maker on his/her own account in the Financial Instruments Exchange Market on which he/she quotes sale prices, based on such sale quotes;

六買い付けた有価証券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)among transactions for the sale of the purchased Securities whose settlement has yet to be completed, a transaction wherein the settlement of said sale is to be made with said purchased Securities;

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)the sale of the loaned Securities (excluding those borrowed), which is a transaction for the sale of said Securities wherein it is clear that said Securities will be returned prior to the settlement thereof;

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によらない売買による空売りを行う取引

(viii)among the sales and purchases on a Financial Instruments Exchange Market, Short Selling transactions through sales and purchases conducted outside the trading session specified in the operational rules of the Financial Instruments Exchange which establishes said Financial Instruments Exchange Market;

九次に掲げる有価証券に付与された株券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

(ix)where the right to acquire the share certificates attached to the following Securities has been exercised, the transaction for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificates which shall be acquired as a result of the exercise of such right:

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)in cases where an Issuer of Securities has exercised the right attached to Share Certificate subject to Call, a transaction for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificates to be acquired as a result of the exercise of such right;

十一他社株券償還特約付社債券について、当該他社株券償還特約付社債券が対象株券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対象株券の数量の範囲内で当該対象株券と同一の銘柄の株券の売付けを行う取引

(xi)with regard to the Corporate Bond Certificates With Special Provisions Allowing the Redemption By the Share Certificates of Another Company, when it has been decided that the Corporate Bond Certificates With Special Provisions Allowing the Redemption By the Share Certificates of Another Company will be redeemed by Subject Share Certificates, the transaction for the sale of the share certificates of the same issue as, and within the scope of the volume of, the Subject Share Certificates to be redeemed;

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の分割、投資信託受益証券に係る受益権の分割及び投資証券に係る投資口の分割（以下この号において「株式分割等」という。）、株式無償割当て、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、投資信託受益証券に係る受益権及び投資証券に係る投資口（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)in cases where an Issuer of Securities conducts a share split, a split of Preferred Equity Investment pertaining to Preferred Equity Investment Certificates, a split of beneficial interest pertaining to a Beneficiary Certificate of an Investment Trust, or a split of investment equity pertaining to Investment Securities (hereinafter referred to as a "Share Split, etc." in this item), an Allotment of Shares without Contribution, a merger, a company split, a share exchange, or a share transfer, the transaction for the sale of the Securities of the same issue as, and within the scope of the volume of, the shares, Preferred Equity Investment, beneficial interest pertaining to a Beneficiary Certificate of an Investment Trust, or investment equity pertaining to Investment Securities (hereinafter referred to as the "Shares, etc." in this item) which are allotted through such 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 who has responded to a Public Offering or Secondary Distribution of Securities, Solicitation for Acquisition Only for Professional Investors, or Solicitation for Selling Only for Professional Investors, etc., conducts a sale of the Securities of the same issue as, and within the scope of the volume of, the Securities to be acquired as a result of such Public Offering or Secondary Distribution, Solicitation for Acquisition Only for Professional Investors, or Solicitation for Selling Only for Professional Investors, etc.;

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 for the sale of Securities of the same issue as, and within the scope of the volume of, the Securities purchased through a When Issued Transaction, prior to the transfer of such Securities;

十五空売りを行う取引であって、次に掲げる理由によるもの

(xv)a Short Selling transaction which is to be conducted on any of following grounds:

十六投資信託受益証券に係る次に掲げる取引

(xvi)the following transactions pertaining to a Beneficiary Certificate of an Investment Trust:

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、外国投資信託受益証券、投資証券、有価証券信託受益証券で外国投資信託受益証券を受託有価証券とするもの又は法第二条第一項第二十号に掲げる有価証券で外国投資信託受益証券に係る権利を表示するものにつき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)among the transactions in which a Member, etc. of a Financial Instruments Exchange conducts a Short Selling transaction on his/her own account with regard to a Beneficiary Certificate of an Investment Trust, a Beneficiary Certificate of a Foreign Investment Trust, Investment Securities, a Beneficiary Certificate of Securities in Trust of which the Entrusted Securities are the Beneficiary Certificate of a Foreign Investment Trust, or the Securities set forth in Article 2, paragraph (1), item (xx) of the Act which indicate the right pertaining to Beneficiary Certificate of a Foreign Investment Trust, listed on said Financial Instruments Exchange, those set forth in the following items:

一発行日取引

(i)a When Issued Transaction;

二次に掲げる有価証券につき空売りを行う取引

(ii)a Short Selling transaction for the following Securities:

三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

(iii)a Short Selling transaction made by an Over-the-Counter Market Maker on his/her own account in the Financial Instruments Exchange Market on which he/she quotes sale prices, based on such sale quotes;

四買い付けた店頭売買有価証券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

(iv)among transactions for the sale of the purchased Over-the-Counter Traded Securities whose settlement has yet to be completed, a transaction wherein the settlement of said sale is to be made with said purchased Over-the-Counter Traded Securities;

五貸し付けている店頭売買有価証券（借り入れたものを除く。）の売付けであって、その決済前に当該店頭売買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店頭売買有価証券の売付けを行う取引

(v)the sale of the loaned Over-the-Counter Traded Securities (excluding those borrowed) which is a transaction for the sale of such Over-the-Counter Traded Securities wherein it is clear that such Over-the-Counter Traded Securities on loan will be returned prior to the settlement thereof;

六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

(vi)a Short Selling transaction of Over-the-Counter Traded Securities to be effected outside the trading hours of Over-the-Counter Traded Securities through the system for transactions of the Over-the-Counter Traded Securities Market according to the relevant rules specified by the Authorized Financial Instruments Firms Association in which the Over-the-Counter Traded Securities Market is established;

七次に掲げる有価証券に付与された株券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

(vii)where the right to acquire the share certificates attached to the following Securities has been exercised, the transactions for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificate which shall be acquired as a result of the exercise of such right:

八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

(viii)in cases where an Issuer of Securities has exercised the right attached to Share Certificate subject to Call, a transaction for the sale of the share certificates of the same issue as, and within the scope of the volume of, the share certificates to be acquired as a result of the exercise of such right;

九他社株券償還特約付社債券について、当該他社株券償還特約付社債券が対象株券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対象株券の数量の範囲内で当該対象株券と同一の銘柄の株券の売付けを行う取引

(ix)with regard to the Corporate Bond Certificates With Special Provisions Allowing the Redemption By the Share Certificates of Another Company, when it has been decided that Corporate Bond Certificates With Special Provisions Allowing the Redemption By the Share Certificates of Another Company will be redeemed by Subject Share Certificates, the transaction for the sale of the share certificates of the same issue as, and within the scope of the volume of, the Subject Share Certificates to be redeemed;

十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の分割、投資信託受益証券に係る受益権の分割及び投資証券に係る投資口の分割（以下この号において「株式分割等」という。）、株式無償割当て、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、投資信託受益証券に係る受益権及び投資証券に係る投資口（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

(x)in cases where an Issuer of Securities conducts a share split, a split of Preferred Equity Investment for Preferred Equity Investment Certificates, a split of beneficial interest pertaining to a Beneficiary Certificate of an Investment Trust, or a split of investment equity pertaining to Investment Securities (hereinafter referred to as the "Share Split, etc." in this item), an Allotment of Shares without Contribution, a merger, a company split, a share exchange, or a share transfer, the transaction for the sale of Securities of the same issue as, and within the scope of the volume of, the shares, Preferred Equity Investment, beneficial interest pertaining to Beneficiary Certificate of an Investment Trust, or investment equity pertaining to Investment Securities (hereinafter referred to as the "Shares, etc." in this item) which are allotted through such Share Split, etc., Allotment of Shares without Contribution, merger, company split, share exchange, or share transfer;

十一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

(xi)a transaction in which a person who has responded to a Public Offering or Secondary Distribution of Securities, Solicitation for Acquisition Only for Professional Investors, or Solicitation for Selling Only for Professional Investors, etc., conducts a sale of Securities of the same issue as, and within the scope of the volume of, the Securities to be acquired as a result of such Public Offering or Secondary Distribution, Solicitation for Acquisition Only for Professional Investors, or Solicitation for Selling Only for Professional Investors, etc.;

十二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

(xii)a transaction for the sale of Securities of the same issue as, and within the scope of the volume of, the Securities purchased through a When Issued Transaction, prior to the transfer of such Securities;

十三空売りを行う取引であって、次に掲げる理由によるもの

(xiii)a Short Selling transaction which is conducted on any of the following grounds:

一第十条各号に掲げる取引

(i)the transactions set forth in the items of Article 10;

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 (limited to cases in which the volume of sales is within 50 times as much as the trading unit specified by the Financial Instruments Exchange) conducted by a person who does not fall under the category of Qualified Institutional Investor as prescribed in Article 2, paragraph (3), item (i) of the Act (including foreign juridical persons similar thereto);

三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（借り入れている場合及び令第二十六条の二の規定に該当する場合を除く。）有価証券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、第十条第三号に掲げる取引を除く。）

(iii)in cases where a Member, etc. of the Financial Instruments Exchange has promised to its customer to purchase the Securities held by said customer (excluding the cases where the customer has borrowed the Securities and the cases that fall under Article 26-2 of the Order) at the following prices through sales and purchases conducted outside the Financial Instruments Exchange Market or the trading session specified in the operational rules of the Financial Instruments Exchange, Short Selling transactions of the Securities of the same issue as, and within the scope of the volume of, said Securities on his/her own account (excluding the transactions set forth in Article 10, item (iii) only in the case where sell orders will be executed in accordance with a program set in advance and the transaction managed under a special account):

四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

(iv)a transaction to be conducted using the relationship between the trading price of the following Securities and the trading price of the share certificates which are to be acquired by exercising the right attached to said Securities, in which a new purchase of the relevant Securities as well as the sale of share certificates of the same issue as, and within the scope of the volume of, the relevant share certificates is to be conducted:

五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

(v)a transaction for the sale of share certificates of the same issue as, and within the scope of the volume of, the share certificates which are to be acquired through the exercise of the right attached to the following Securities, which is conducted in order to reduce any potential risks arising from fluctuations in prices related to an outstanding balance in the purchase of the respective Securities (including cases where the right to acquire said Securities has been granted by the Issuer of said Securities):

六有価証券先物取引又は有価証券指標先物取引に係る約定価額又は約定数値の水準と有価証券指数等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法第二条第二十一項第三号に掲げる取引を利用して行うものを含み、第十条第三号に掲げる取引を除く。）

(vi)the following transactions conducted using the relationship between the levels of the Agreed Amount or the Agreed Figure pertaining to Securities Futures Transactions or Securities Index Futures Transactions and the level of a Securities Index, etc. (including transactions equivalent thereto which are conducted using the transactions set forth in Article 2, paragraph (21), item (iii) of the Act pertaining to Securities Index and excluding the transactions set forth in Article 10, item (iii)):

七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、第十条第三号に掲げる取引を除く。）

(vii)a transaction for the sale of multiple Securities of different issues (limited to the Securities which are selected so that the fluctuations in the total amount of prices of the Securities approximate the fluctuations of the Securities Index, etc. pertaining to the Long-Securities Index Futures Transactions, etc.) within the scope of the transaction contract balance of a Long-Securities Index Futures Transaction, etc. (limited to the transaction contract balance remaining after the deduction of the transaction contract balance of a Short-Securities Index Futures Transaction, etc. corresponding thereto, and the amount of the transaction set forth in sub-item (a) and sub-item (b) of the preceding item pertaining to Long-Securities Index Futures Transactions, etc. identical to said Long-Securities Index Futures Transactions, etc.) which is conducted in order to reduce any potential risks arising from fluctuations in prices related to the transaction contract balance of the Long-Securities Index Futures Transaction, etc. (including transactions equivalent thereto which are conducted in connection with the transactions set forth in Article 2, paragraph (21), item (iii) of the Act pertaining to the Securities Index and excluding the transactions set forth in Article 10, item (iii));

八有価証券オプション取引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（第十条第三号に掲げる取引を除く。）

(viii)a transaction to be conducted using the relationship between the Price for Exercise of Rights (meaning the price pertaining to a transaction which is established by a unilateral manifestation of intention by one of the parties) and the amount of consideration pertaining to the Securities Options Trading and the trading price of the Securities, in which a party acquires the right to purchase Securities or grants the right to sell Securities by newly conducting Securities Options Trading, and conducts sales of the Securities of the same issue as, and within the scope of the volume of, the Securities which are to be acquired when the party exercises such right or such right has been exercised (excluding the transactions set forth in Article 10, item (iii));

九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（第十条第三号に掲げる取引を除く。）

(ix)in cases where a party has acquired the right to purchase or granted the right to sell Securities through Securities Options Trading, a transaction for the sale of the Securities of the same issue as, and within the scope of the volume of, the Securities (limited to the volume remaining after the deduction of the volume of the Securities which are to be sold by exercising the right or as a result of such right being exercised, in cases where the party has acquired the right to sell or has granted the right to purchase said Securities through Securities Options Trading and the volume of the transaction set forth in the preceding item related to the same issue as said Securities) which is conducted in order to reduce any potential risks arising from fluctuations in the amount receivable for Securities Options Trading (excluding the transactions set forth in Article 10, item (iii));

十投資信託受益証券の約定価額の水準と当該投資信託受益証券と同一の金利、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の売付けを行う取引

(x)a transaction to be conducted using the relationship between the level of the Agreed Amount of a Beneficiary Certificate of an Investment Trust and the level of the Agreed Amount of another Beneficiary Certificate of an Investment Trust which is to be invested based on the same money rate, value of currency, quotation, or another indicator on a Financial Instruments Exchange Market (hereinafter referred to as an "Indicator" in this Article) as said Beneficiary Certificate of an Investment Trust, in which a new purchase of said Beneficiary Certificate of an Investment Trust as well as the sale of said other Beneficiary Certificate of an Investment Trust within the scope of the purchase value is to be conducted;

十一投資信託受益証券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。以下この号から第十六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、第十五号及び第十六号において同じ。）を行う取引（第十条第三号に掲げる取引を除く。）

(xi)a transaction to be conducted using the relationship between the level of the Agreed Amount and the level of the Indicator of a Beneficiary Certificate of an Investment Trust, in which a new purchase of said Beneficiary Certificate of an Investment Trust as well as the sale of Indicator Linked Securities (meaning the Securities which are selected so that the fluctuations in the total amount of such Securities approximate the fluctuations of the Indicator of the Beneficiary Certificate of an Investment Trust; hereinafter the same shall apply in this item to item (xvi) inclusive) within the scope of the purchase value thereof is to be conducted (in cases where the Indicator Linked Securities are multiple Securities of different issues, this shall be limited to the sale of said multiple Securities of different issues; the same shall apply in the following item, item (xv), and item (xvi)) (excluding the transactions set forth in Article 10, item (iii));

十二投資信託受益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（第十条第三号に掲げる取引を除く。）

(xii)a transaction for the sale of the Indicator Linked Securities within the scope of the purchase value thereof which is to be conducted in order to reduce any potential risk arising from fluctuations in prices pertaining to the purchase balance of a Beneficiary Certificate of an Investment Trust (excluding the transactions set forth in Article 10, item (iii));

十三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

(xiii)the following transactions conducted using the relationship between the level of the Agreed Figure or the level of the Indicator pertaining to Securities Index Futures Transactions and the level of the Agreed Amount of a Beneficiary Certificate of an Investment Trust:

十四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六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の売付けを行う取引

(xiv)a transaction for the sale of a Beneficiary Certificate of an Investment Trust within the scope of the total amount of the transaction contract balance of a Long-Securities Index Future Transaction (limited to the transaction contract balance remaining after the deduction of the transaction contract balance of a Short-Securities Index Futures Transaction corresponding thereto, and the amount of the transactions set forth in item (vi), sub-items (a) and (b) pertaining to Long-Securities Index Futures Transactions identical to said Long-Securities Index Futures Transactions) or the purchase value of the Indicator Linked Securities which is to be conducted in order to reduce any potential risks arising from fluctuations in prices pertaining to the transaction contract balance of the Long-Securities Index Futures Transaction or the purchase balance of the Index-Tracked Securities;

十五投資信託受益証券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、投資信託受益証券オプション取引を新規に行うことにより投資信託受益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投資信託受益証券の価額（当該投資信託受益証券と同一の銘柄に係る第八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（第十条第三号に掲げる取引を除く。）

(xv)a transaction to be conducted using the relationship between the price level and the level of the Indicator of a Beneficiary Certificate of an Investment Trust, in which a party acquires the right to purchase a Beneficiary Certificate of an Investment Trust or grants the right to sell a Beneficiary Certificate of an Investment Trust by newly conducting Option Trading of a Beneficiary Certificate of an Investment Trust, and conducts sale of the Indicator Linked Securities within the scope of the amount of the Beneficiary Certificate of an Investment Trust which is to be obtained when the party exercises such right or such right is exercised (limited to the amount remaining after the deduction of the amount of the transaction set forth in item (viii) pertaining to the same issue as said Beneficiary Certificate of an Investment Trust) (excluding the transactions set forth in Article 10, item (iii));

十六投資信託受益証券オプション取引により投資信託受益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の価額（投資信託受益証券オプション取引により当該投資信託受益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投資信託受益証券の価額、当該投資信託受益証券と同一の銘柄に係る第八号及び第九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（第十条第三号に掲げる取引を除く。）

(xvi)in cases where a party has acquired the right to purchase or has granted the right to sell a Beneficiary Certificate of an Investment through Option Trading of a Beneficiary Certificate of an Investment Trust, a transaction for the sale of the Indicator Linked Securities within the amount of the Beneficiary Certificate of an Investment Trust which is to be purchased in cases where the party exercises said right or said right is exercised (limited to the amount remaining after the deduction of the amount of the Beneficiary Certificate of an Investment Trust which is to be sold in cases where the party acquires the right to purchase or grants the right to sell Beneficiary Certificate of an Investment Trust through Option Trading of a Beneficiary Certificate of an Investment Trust, when a party exercises such right or such right is exercised, the amount of the transaction set forth in item (viii) and item (ix) pertaining to the same issue as the Beneficiary Certificate of an Investment Trust, and the amount of the transaction set forth in the preceding item pertaining to Indicator Linked Securities), which is conducted in order to reduce any potential risks arising from fluctuations in the price of a Beneficiary Certificate of an Investment Trust (excluding the transactions set forth in Article 10, item (iii));

十七取引所金融商品市場における次のイからホまでに掲げる有価証券の価格をそれぞれ当該イからホまでに定める指標に平準化するための当該有価証券の売付けを行う取引

(xvii)a transaction for the sale of the Securities set forth in the following sub-item (a) to sub-item (e) inclusive on a Financial Instruments Exchange Market in order to equalize the prices thereof with the level of the Indicator specified in the respective sub-item (a) to sub-item (e) inclusive:

十八合併等会社株券の約定価額の水準と被合併等会社株券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。）

(xviii)a transaction to be conducted using the relationship between the level of the Agreed Amount of Share Certificates of a Merging, etc. Company and the level of the Agreed Amount of Share Certificates of a Merged, etc. Company based on the ratio of Merger, etc., in which a new purchase of Share Certificates of a Merging, etc. Company as well as a sale of Share Certificates of a Merged, etc. Company within the scope of the purchase value is to be conducted (limited to the case in which the date of Merger, etc. and the ratio of Merger, etc. have been decided, and such information has been made public);

十九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

(xix)a Short Selling transaction of Securities of which the number is less than the trading unit specified by a Financial Instruments Exchange which establishes a Financial Instruments Exchange Market; and

二十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

(xx)a transaction for the sale of certain Securities to be made in order to equalize the price of said Securities in a Financial Instruments Exchange Market with the price of said Securities in a Financial Instruments Exchange Market established by another Financial Instruments Exchange.

一第十一条各号に掲げる取引

(i)the transactions set forth in the items of Article 11;

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 (limited to cases in which 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 who does not fall under the category of a Qualified Institutional Investor as prescribed in Article 2, paragraph (3), item (i) of the Act (including foreign juridical persons similar thereto);

三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

(iii)a transaction to be conducted using the relationship between the trading price of the following Securities and the trading price of the share certificates which are to be acquired by exercising the right attached to said Securities, in which a new purchase of the relevant Securities as well as the sale of share certificates of the same issue as, and within the scope of the volume of, the relevant share certificates is to be conducted:

四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

(iv)a transaction for the sale of share certificates of the same issue as, and within the scope of the volume of, the share certificates which are to be acquired through the exercise of the right attached to the following Securities, which is conducted in order to reduce any potential risks arising from fluctuations in prices related to the outstanding balance of the purchase of the respective Securities (including cases where the right to acquire said Securities has been granted by the Issuer of said Securities):

五合併等会社株券の約定価額の水準と被合併等会社株券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。）

(v)a transaction to be conducted using the relationship between the level of the Agreed Amount of Share Certificates of a Merging, etc. Company and the level of the Agreed Amount of Share Certificates of a Merged, etc. Company based on the ratio of the Merger, etc., in which a new purchase of Share Certificates of a Merging, etc. Company as well as sale of Share Certificates of a Merged, etc. Company within the scope of the purchase value is to be conducted (limited to the case in which the date of the Merger, etc. and the ratio of the Merger, etc. have been decided, and such information has been made public);

六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

(vi)a Short Selling transaction of Over-the-Counter Traded Securities of which the volume is less than the published trading unit specified by the Authorized Financial Instruments Firms Association which establishes the Over-the-Counter Securities Market;

七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

(vii)a transaction for the sale of certain Over-the-Counter Traded Securities to be made in order to equalize the price of Over-the-Counter Traded Securities in an Over-the-Counter Securities Market with the price of said Over-the-Counter Traded Securities in an Over-the-Counter Securities Market established by another Authorized Financial Instruments Firms Association.

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・〇〇二五以上となり、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 said 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 shall apply in this Article) of the Designated Securities reaches 0.0025 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units exceeds 50:the day on which said Short Selling was conducted;

二前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とき（当該変更後の空売り残高割合が〇・〇〇二五以上であり、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、前号に掲げるときを除く。）当該変更があった日

(ii)when there are any changes in the Outstanding Short Selling Positions Ratio or in the Number of Outstanding Short Selling Positions Expressed in Trading Units prescribed in the preceding item (excluding the case set forth in the preceding item only when the Short Positions Ratio after such change is 0.0025 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units after such change exceeds 50):the day on which such 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・〇〇二五以上となり、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 pertaining to the Designated Securities reaches 0.0025 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units exceeds 50:the day on which said Short Selling was conducted; or

二前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とき（当該変更後の空売り残高割合が〇・〇〇二五以上であり、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、前号に掲げるときを除く。）当該変更があった日

(ii)when there are any changes in the Outstanding Short Selling Positions Ratio or in the Number of Outstanding Short Selling Positions Expressed in Trading Units prescribed in the preceding item (excluding the case set forth in the preceding item, in which the Outstanding Short Selling Positions Ratio after such change is 0.0025 or more and the Number of Outstanding Short Selling Positions Expressed in Trading Units after such change exceeds 50):the day on which such 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 shall apply hereinafter) as the investment of trust property (excluding the investment trust property prescribed in Article 3, item (ii) of the Act on Investment Trust and Investment Corporations; hereinafter the same shall apply in this item and paragraph (1), item (iii), sub-item (a) of the following Article):the respective trust property (in cases of a trust property invested based on instructions of a settlor, the respective 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。次号並びに次条第一項第三号ロ及びハにおいて同じ。）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 shall apply hereinafter) (limited to a person who conducts business pertaining to the acts set forth in Article 2, paragraph (8), item (xii) of the Act) as the investment (including giving instructions therefor; the same shall apply in the following item) of Investment Property (meaning investment property as prescribed in Article 35, paragraph (1), item (xv) of the Act; the same shall apply in the following item and paragraph (1), item (iii), sub-items (b) and (c) 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 (limited to a person who conducts business pertaining to 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 who holds the right indicated on the Securities prescribed in that item or other rights specified by Cabinet Order:the respective Investment Property; and

四前三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

(iv)in addition to what is set forth in the preceding three items, the Short Selling designated by the Commissioner of the Financial Services Agency:those matters specified by the Commissioner of the Financial Services Agency.

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 who conducted Short Selling with regard to the Designated Securities (in cases where said person is an individual (limited to an individual whose Outstanding Short Selling Positions Ratio prescribed in item (vii) is less than 0.05), a statement to the effect that said person is an individual);

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 location of the person who 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) (in cases where such person is an individual, the name of the prefecture and the name of the municipality or the special ward of said person, and in cases where said 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 shall apply in the following item and Article 29, paragraph (2)), anything equivalent thereto);

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)in cases where the Short Selling of the Designated Securities is any of the following types of Short Selling, the matters specified in the respective sub-items:

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; and

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（小数点以下第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。）

(vii)the Outstanding Short Selling Positions Ratio (meaning the figure obtained by dividing the Number of Outstanding Short Selling Positions set forth in the preceding item by the total number of the issued shares or the number of units in issue of the Designated Securities) (any fraction shall be rounded down to four decimal places) pertaining to the Designated Securities.

一上場等株券の発行者である会社（以下この章において「発行会社」という。）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。）の規定又はこれらに相当する外国の法令の規定（当該発行会社が外国会社である場合に限る。以下この章において同じ。）による上場等株券の売買又はその委託等

(i)the sale and purchase of Listed or Over-the-Counter Traded Share Certificates conducted by a company issuing Listed or Over-the-Counter Traded Share Certificates (hereinafter referred to as the "Issuing Company" in this Chapter) under the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Articles 163 and 165, paragraph (3) of that Act) or the laws and regulations of a foreign state equivalent thereto (limited to cases where the Issuing Company is a foreign company; hereinafter the same shall apply in this Chapter) or the entrustment, etc. thereof;

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発行会社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の売買又はその委託等

(ii)the sale and purchase of Listed or Over-the-Counter Traded Shares 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 shall apply in Article 22) on the account of the Issuing Company based on a trust contract under the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Article 163 and Article 165, paragraph (3) of that Act) or the laws and regulations of a foreign state equivalent to thereto, or the Entrustment, etc. thereof;

三金融商品取引業者が投資一任契約に基づいて発行会社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の売買若しくはその委託等又はこれらの指図

(iii)the sale and purchase of Listed or Over-the-Counter Traded Share Certificates conducted by a Financial Instruments Business Operator based on a Discretionary Investment Contract on behalf of the Issuing Company under the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Article 163 and Article 165, paragraph (3) of that Act) or the laws and regulations of a foreign state equivalent thereto, or the Entrustment, etc. or instruction thereof;

四金融商品取引業者が発行会社から売買の別、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、他方については金融商品取引業者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会社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の売買又はその委託等

(iv)the sale and purchase of Listed or Over-the-Counter Traded Share Certificates conducted by a Financial Instruments Business Operator on the account of an Issuing Company based on a contract (excluding those falling under the category of a Discretionary Investment Contract) in which the Financial Instruments Business Operator obtains consent from an Issuing Company in deciding whether the Listed or Over-the-Counter Traded Share Certificates shall 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 the cases where it is applied by replacing certain terms pursuant to Article 163 and Article 165, paragraph (3) of that Act) or the laws and regulations of a foreign state equivalent thereto, or the Entrustment, etc. thereof; and

五金融商品取引業者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.

一一日に二以上の金融商品取引業者に対して、上場等株券の買付け等を行わないこと。

(i)that the Issuing Company shall not make a Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates from two or more Financial Instrument Business Operators in the same day;

二金融商品取引所（上場等株券の買付けを行う取引所金融商品市場を開設する金融商品取引所に限る。以下この章において同じ。）の規則の定めるところによる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ける売買立会の売買の終了すべき時刻（第二十三条第二号イにおいて「売買の終了すべき時刻」という。）の三十分前から当該時刻までの間（以下この号及び次条第二号において「直前三十分間」という。）以外の時間に、当該上場等株券の買付け等の注文を行うこと（直前三十分間以外の時間に行う上場等株券の買付け等の注文であって、あらかじめ直前三十分間に上場等株券の買付けを行うことを約すものは、直前三十分間に上場等株券の買付け等の注文を行うものとみなす。）。

(ii)that the Issuing Company shall make an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates during a time other than the period from 30 minutes before the time at which the sales and purchases in the trading session on a Financial Instruments Exchange Market established by the Financial Instruments Exchange (limited to a Financial Instruments Exchange in which the established Financial Instruments Exchange Market is that in which the purchase of Listed or Over-the-Counter Traded Shares is to be conducted; hereinafter the same shall apply in this Chapter) as specified in the rules of the Financial Instruments Exchange is to close (referred to as the "Trading Closing Time" in Article 23, item (ii), sub-item (a)) until such Trading Closing Time (such a period shall hereinafter be referred to as the "30 Minutes Immediately Before the Close of Trading" in this item and item (ii) of the following Article) (an order of Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates which is to be made during a time other than the 30 Minutes Immediately Before the Close of Trading which promises in advance to purchase Listed or Over-the-Counter Traded Shares during the 30 Minutes Immediately Before the Close of Trading shall be deemed to be an order of Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates during the 30 Minutes Immediately Before the Close of Trading);

三上場等株券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。

(iii)that the order price for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates shall be any of the following prices:

四上場等株券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方法により算出した数量を超えないこと。

(iv)the total volume of an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates made in one day on a Financial Instruments Exchange Market in which the purchase of Listed or Over-the-Counter Traded Share Certificates is to be made shall not exceed the volume calculated pursuant to any of the following methods:

一一日に二以上の金融商品取引業者に対して、上場等株券の買付け等を行わないこと。

(i)that the Issuing Company shall not make a Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates from two or more Financial Instruments Business Operators in the same day;

二直前三十分間以外の時間に、当該上場等株券の買付け等の注文を行うこと（直前三十分間以外の時間に行う上場等株券の買付け等の注文であって、あらかじめ直前三十分間に上場等株券の買付けを行うことを約すものは、直前三十分間に上場等株券の買付け等の注文を行うものとみなす。）。

(ii)that the Issuing Company shall make an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates during a time other than the 30 Minutes Immediately Before the Close of Trading (an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates which is to be made during a time other than the 30 Minutes Immediately Before the Close of Trading which promises in advance to purchase the Listed or Over-the-Counter Traded Share Certificates during the 30 Minutes Immediately Before the Close of Trading shall be deemed to be an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates during the 30 Minutes Immediately Before the Close of Trading);

三上場等株券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。

(iii)that an order for the Purchase of the Listed or Over-the-Counter Traded Share Certificates shall 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 said order is to be made, and that the Issuing Company shall 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 shall not make an order at the Lowest Ask Price repeatedly and continuously when the Lowest Ask Price has risen immediately after such order;

四上場等株券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方法により算出した数量を超えないこと。

(iv)that the total volume of an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates made in one day on a Financial Instruments Exchange Market in which the purchase of Listed or Over-the-Counter Traded Share Certificates is to be made shall not exceed the volume calculated pursuant to any of the following methods:

一一日に二以上の金融商品取引業者に対して、上場等株券の買付け等を行わないこと。

(i)that the Issuing Company shall not make a Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates from two or more Financial Instrument Business Operators in the same day;

二認可金融商品取引業協会（上場等株券の買付けを行う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に限る。以下この章において同じ。）の規則の定めるところによる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ける取引のためのシステムを通じた上場等株券の売買（以下この章において「システム売買」という。）の終了すべき時刻の三十分前から当該時刻までの間（以下この号及び次条第二号において「直前三十分間」という。）以外の時間に、当該上場等株券の買付け等の注文を行うこと（直前三十分間以外の時間に行う上場等株券の買付け等の注文であって、あらかじめ直前三十分間に上場等株券の買付けを行うことを約すものは、直前三十分間に上場等株券の買付け等の注文を行うものとみなす。）。

(ii)that the Issuing Company shall make an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates during a time other than the period from 30 minutes before the time on which the sales and purchases of Listed or Over-the-Counter Traded Share Certificates through a trading system (hereinafter referred to as the "System Trading" in this Chapter) in an Over-the-Counter Securities Market established by an Authorized Financial Instruments Firms Association (limited to the Authorized Financial Instruments Firms Association which establishes the Over-the-Counter Securities Market in which the purchase of Listed or Over-the-Counter Traded Share Certificates is to be conducted; hereinafter the same shall apply in this Chapter) as specified in the rules of the Authorized Financial Instruments Firms Association is to close (such period shall hereinafter be referred to as the "30 Minutes Immediately Before the Close of Trading" in this item and item (ii) of the following Article) (an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates which is to be made during a time other than the 30 Minutes Immediately Before the Close of Trading which promises in advance to purchase Listed or Over-the-Counter Traded Share Certificates during the 30 Minutes Immediately Before the Close of Trading shall be deemed to be an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates during the 30 Minutes Immediately Before the Close of Trading);

三上場等株券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。

(iii)that the order price for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates shall be any of the following prices:

四上場等株券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方法により算出した数量を超えないこと。

(iv)the total volume of an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates made in one day on the Over-the-Counter Securities Market in which the purchase of Listed or Over-the-Counter Traded Share Certificates is to be made shall not exceed the volume calculated pursuant to any of the following methods:

一一日に二以上の金融商品取引業者に対して、上場等株券の買付け等を行わないこと。

(i)that the Issuing Company shall not make a Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates from two or more Financial Instrument Business Operators in the same day;

二直前三十分間以外の時間に、当該上場等株券の買付け等の注文を行うこと（直前三十分間以外の時間に行う上場等株券の買付け等の注文であって、あらかじめ直前三十分間に上場等株券の買付けを行うことを約すものは、直前三十分間に上場等株券の買付け等の注文を行うものとみなす。）。

(ii)that the Issuing Company shall make an order for the Purchase, etc. of the Listed or Over-the-Counter Traded Share Certificates during a time other than the 30 Minutes Immediately Before the Close of Trading (an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates which is to be made during a time other than the 30 Minutes Immediately Before the Close of Trading which promises in advance to purchase Listed or Over-the-Counter Traded Share Certificates during the 30 Minutes Immediately Before the Close of Trading shall be deemed to be an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates during the 30 Minutes Immediately Before the Close of Trading);

三上場等株券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。

(iii)that an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates shall 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 said order is to be made, and that the Issuing Company shall make the order at the limit price not exceeding the price published by an 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 shall not make an order at said Lowest Ask Price repeatedly and continuously when the Lowest Ask Price has risen immediately after said order;

四上場等株券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方法により算出した数量を超えないこと。

(iv)that the total volume of an order for the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates made in one day on an Over-the-Counter Securities Market in which the purchase of Listed or Over-the-Counter Traded Share Certificates is to be made shall not exceed the volume calculated pursuant to any of the following methods:

一取引所金融商品市場における上場等株券の買付け等（次号に規定する上場等株券の買付け等を除く。）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)among the methods of Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates on a Financial Instruments Exchange Market (excluding the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates prescribed in the following item), a method found to be appropriate by said Financial Instruments Exchange as satisfying 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)among the methods of Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates pertaining to a Market Making Issue on the Financial Instruments Exchange Market, a method which is found to be appropriate by said Financial Instruments Exchange as satisfying the following requirements;

三店頭売買有価証券市場における上場等株券の買付け等（次号に規定する上場等株券の買付け等を除く。）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)among the methods of Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates in an Over-the-Counter Securities Market (excluding the Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates prescribed in the following item), a method which is found to be appropriate by an Authorized Financial Instruments Firms Association 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)among the methods of Purchase, etc. of Listed or Over-the-Counter Traded Share Certificates pertaining to an Over-the-Counter Market Making Issue on an Over-the-Counter Securities Market, a method which is found to be appropriate by the Authorized Financial Instruments Firms Association 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。）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) 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 Solicitation for Selling, etc. Only for 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 his/her 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 (including the acquisition) directly or indirectly from the owner to a juridical person established or operated for the purpose of the issuance of Securities (referred to as the "Special Purpose Juridical Person" in the following item) (such monetary claim or assets shall 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 Juridical Person shall issue said Securities (including those issued for refinancing of said Securities), and use the money obtained through the management, investment, or disposal of the Assigned Assets for the performance of obligations arising from said 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)the transactions set forth in Article 2, paragraph (21), item (ii) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to receive money when the Actual Figure exceeds the Agreed Figure (if said Specified Securities, etc. are Seller Related Securities, the party to pay money; hereinafter the same shall apply in this Article and the following Article);

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)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 (including the transactions equivalent thereto specified by a Financial Instruments Exchange; hereinafter the same shall apply in this item) concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options equivalent thereto specified by a Financial Instruments Exchange) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options (in cases where the Specified Securities, etc. are Seller Related Securities, the party to receive money; hereinafter the same shall apply in this Article and following Articles), or Options equivalent thereto specified by a Financial Instruments Exchange);

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)the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the sale and purchase of Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer in the sale and purchase of Specified Securities, etc. related to said Options (in cases where the Specified Securities, etc. are Seller Related Securities, the position as a seller; hereinafter the same shall apply in this Article, the following Article and Article 35)) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of the Specified Securities, etc. related to said Options (in cases where the Specified Securities, etc. are Seller Related Securities, the position as a buyer; hereinafter the same shall apply 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)the transactions set forth in Article 2, paragraph (21), item (iv) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to receive money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or in which the person is the party to pay money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction;

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)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 concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction or wherein the person is the party to pay money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (iv) of that paragraph that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Specified Securities, etc. rises compared to the one at the time of entering into the agreement for the transaction, or wherein the person is the party to receive money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (iv) of that paragraph that are related to said Options);

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)the transactions set forth in Article 2, paragraph (21), item (v) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur;

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)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 concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in that item that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in item (v) of that paragraph that are related to said Options);

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)Foreign Market Derivatives Transactions concerning Specified Securities, etc.:anything similar to the transactions specified in the preceding items according to the category of transactions set forth in the respective items;

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)the transactions set forth in Article 2, paragraph (22), item (ii) of the Act concerning Specified Securities, etc.:a transaction in which a person is the party to receive money when the Actual Figure exceeds the Agreed Figure, or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (ii) of that paragraph concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money in the transactions set forth in item (ii) of that paragraph that are related to said Options when the Actual Figure exceeds the Agreed Figure) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money in the transactions set forth in item (ii) of that paragraph that are related to said Options when the Actual Figure exceeds the Agreed Figure);

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the sale and purchase of Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer in the sale and purchase of the Specified Securities, etc. that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of the Specified Securities, etc. that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (iv) of the Act concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the actual price of the Specified Securities, etc. at the actual time of the exercise of the Options exceeds the figure agreed in advance as the price of the Specified Securities, etc. in cases of the exercise of the Options in the transactions that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the actual price of the Specified Securities, etc. at the actual time of the exercise of the Options exceeds the figure agreed upon in advance as the price of the Specified Securities, etc. in cases of the exercise of the Options in the transactions that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (v) of the Act concerning Specified Securities, etc.:the transactions wherein the person is the party to receive money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for a transaction, or the party to pay money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (v) of that paragraph concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (v) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (v) of that paragraph that are related to said Options, or Options 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)the transactions set forth in Article 2, paragraph (22), item (vi) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, or any other transactions similar thereto; 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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (vi) of that paragraph concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in item (vi) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in item (vi) of that paragraph that are related to said Options, or Options similar thereto).

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)the transactions set forth in Article 2, paragraph (21), item (ii) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to pay money when 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)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 concerning Specified Securities, etc. (including the transactions equivalent thereto specified by a Financial Instruments Exchange; hereinafter the same shall apply in this item):the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options equivalent thereto specified by a Financial Instruments Exchange) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options equivalent thereto specified by a Financial Instruments Exchange);

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)the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the sale and purchase of Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of the Specified Securities, etc. related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer in the sale and purchase of the Specified Securities, etc. related to said Options);

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)the transactions set forth in Article 2, paragraph (21), item (iv) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to pay money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (iv) of that paragraph concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Specified Securities, etc. rises compared to the price at the time of entering in to the agreement for the transaction, or the party to receive money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (iv) of that paragraph that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (iv) of that paragraph that are related to said Options);

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)the transactions set forth in Article 2, paragraph (21), item (v) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur;

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)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 concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in item (v) of that paragraph that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in item (v) of that paragraph that are related to said Options);

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)Foreign Market Derivatives Transactions concerning Specified Securities, etc.:anything similar to the transactions specified in the preceding items according to the category of transactions set forth in the respective items;

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)the transactions set forth in Article 2, paragraph (22), item (ii) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to pay money when the Actual Figure exceeds the Agreed Figure or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (ii) of that paragraph concerning Specified Securities, etc.:acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the sale and purchase of Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of the Specified Securities, etc. related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer in the sale and purchase of the Specified Securities, etc. related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (iv) of the Act concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the actual price of the Specified Securities, etc. at the actual time of the exercise of the Options exceeds the figure agreed upon in advance as the price of the Specified Securities, etc. in cases of the exercise of the Options in the transactions that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the actual price of said Specified Securities, etc. at the actual time of the exercise of the Options exceeds the figure agreed upon in advance as the price of the Specified Securities, etc. in cases of the exercise of the Options, in the transactions that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (v) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to pay money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (v) of that paragraph concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (v) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Specified Securities, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Specified Securities, etc. falls compared to the price at the time of entering into the agreement for the transaction in the transactions set forth in item (v) of that paragraph that are related to said Options, or Options 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)the transactions set forth in Article 2, paragraph (22), item (vi) of the Act concerning Specified Securities, etc.:the transactions in which the person is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, or any other transactions similar thereto; 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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (vi) of that paragraph concerning Specified Securities, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in that item that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, in the transactions set forth in that item that are related to said Options, or Options similar thereto).

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)the case where the purchase or sale of share certificates pertaining to shares of a number less than one unit of shares as prescribed in Article 188, paragraph (1) of the Companies Act is conducted;

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)the case where an officer or employee of the Listed Company, etc. (including an officer or employee of another company over which said Listed Company has control directly or indirectly; hereinafter the same shall apply in this item and the following item) jointly with other officer(s) or employee(s) of said Listed Company, etc. has made a purchase of share certificates of said Listed Company, etc. (in cases where said Listed Company, etc. purchases share certificates other than those which such Listed Company, etc. has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Articles 165, paragraph (3) of that Act), it shall be limited to the cases where such purchase is made by Entrustment, etc. to a Financial Instruments Business Operator, etc.) and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each officer or employee is to contribute less than one million yen per occasion; the same shall apply 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)the case where an 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 of said Listed Company, etc. and said person engaged in Trust Business has made a purchase of share certificates of said Listed Company, etc. based on the instructions from said officer or employee, and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is said officer or employee and the trust property for which the settlor is another officer or employee of said Listed Company are jointly invested);

四上場会社等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)the case where an employee of an Associated Company of a Listed Company, etc. jointly with another employee of said Associated Company has made a purchase of share certificates of said Listed Company, etc. by Entrustment, etc. to a Financial Instruments Business Operator (excluding the cases set forth in item (ii)) and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each employee is to contribute less than one million yen per occasion; the same shall apply 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)the case where 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 said Listed Company, etc., and said person engaged in Trust Business has made a purchase of share certificates of said Listed Company, etc. based on instructions from said employee (excluding the cases listed in item (iii)), and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is said employee and the trust property for which the settlor is another employee of said 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)the case where a Person Who Has a Transaction Relationship with a Listed Company, etc. (meaning the person who has a transaction relationship with the Listed Company, etc. as designated by the Listed Company, etc.; hereinafter the same shall apply in this item) jointly with another Person Who Has a Transaction Relationship with said Listed Company, etc. has made a purchase of share certificates of said Listed Company, etc. by Entrustment, etc. to a Financial Instruments Business Operator, and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where 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。第十四号において同じ。）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)the case in which a purchase of share certificates of a Listed Company, etc. (including Preferred Equity Investment Certificates; the same shall apply in item (xiv)) has been made by Entrustment, etc. to a Financial Instruments Business Operator pursuant to a Contract for Cumulative Investment, and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where 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)the case where 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 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)the case where the sale and purchase of Specified Securities as specified by Cabinet Order, prescribed in Article 159, paragraph (3) of the Act, is conducted;

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)the case where an officer or Major Shareholder of a Listed Company, etc. makes a sale and purchase on condition of repurchase for which the repurchase price is set in advance pertaining to the Specified Securities, etc. issued by said 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 his/her 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)the case where 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)the case where a person who holds share options has made purchase of share certificates by exercising said 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)the case where the transactions set forth in Article 2, paragraph (21), item (iv) or Article 2, paragraph (22), item (v) of the Act concerning Specified Securities, etc. are conducted;

十四銀行等保有株式取得機構が上場会社等の株券の買付け（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。）に該当する場合に限る。）を行った場合又は当該買い付けた株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の買付け又は売付けを行った場合を含む。）

(xiv)the case where the Banks' Shareholdings Purchase Corporation has made a purchase of share certificates of a Listed Company, etc. (limited to those which fall 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) (including the purchase of share certificates under the provisions of Article 38-2, paragraph (1) of that Act)) or a sale of the share certificates which it has purchased (including the cases where the person to whom the Banks' Shareholdings Purchase Corporation entrusts part of its business pursuant to the provisions of Article 35 of that Act makes a purchase or sale of share certificates of a Listed Company, etc. under such 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)where a Listed Company, etc. holds voting rights exceeding 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 shall apply hereinafter) of another company, such other company; and

二前号の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)where the company under the preceding item holds voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of another company, such other company.

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)where a Listed Company, etc. holds voting rights of not less than 25 percent of the Voting Rights Held by All the Shareholders, etc. of another company, such other company;

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)where the net sales of another company to a Listed Company, etc. in the previous business year were not less than 50 percent of the total amount of net sales of said other company, such other company; 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)where the purchases of another company from a Listed Company, etc. in the previous business year were not less than 50 percent of the total amount of purchases of the other company, such other company.

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 pertaining to 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 pertaining to 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 shall apply in this Article and the following Article), or the purchase of Seller Related Securities:the amount of Specified Securities pertaining to 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 pertaining to the sale and purchase of Specified Securities:the amount of Specified Securities subject to the sale and purchase 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 pertaining to the sale and purchase of Related Securities or Seller Related Securities:the amount of Specified Securities pertaining to Options or rights indicated on Related Securities or on Seller Related Securities subject to the sale and purchase 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 obtained by deducting the amount set forth in the following sub-item (h) to sub-item (m) inclusive from the amount obtained by adding the amount set forth in the following sub-item (a) to sub-item (g) inclusive to the amount of Specified Securities of a Listed Company, etc. owned by an officer or Major Shareholder which are of the same kind as the Specified Securities subject to sale by said 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 obtained by deducting the amount set forth in sub-item (h) to sub-item (m) inclusive of the preceding item from the amount obtained by adding the amount set forth in sub-item (a) to sub-item (g) inclusive of that item to the amount of Specified Securities of the Listed Company, etc. owned by an officer or Major Shareholder which are of the same kind 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 said 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 pertaining to the sale and purchase of Specified Securities:the amount obtained by deducting the amount set forth in sub-item (h) to sub-item (m) inclusive of item (i) from the amount obtained by adding the amount set forth in sub-item (a) to sub-item (g) inclusive of that item to the amount of Specified Securities of the Listed Company, etc. owned by the relevant officer or Major Shareholder which are of the same kind as the Specified Securities subject to the sale and purchase effected when the Options which said 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 pertaining to the sale and purchase of Related Securities or Seller Related Securities:the amount obtained by deducting the amount set forth in sub-item (h) to sub-item (m) inclusive of item (i) from the amount obtained by adding the amount set forth in sub-item (a) to sub-item (g) inclusive of that item to the amount of Specified Securities of the Listed Company, etc. owned by the relevant officer or Major Shareholder which are of the same kind as the Specified Securities pertaining to Options or rights indicated on the Related Securities or Seller Related Securities subject to the sale and purchase effected when the Options which said 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 obtained by dividing the transaction contract value pertaining to the transaction by the Agreed Figure for one Specified Security (the figure obtained by dividing the Agreed Figure by the notional number of Specified Securities subject to said 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 (including the transactions equivalent thereto specified by a Financial Instruments Exchange; hereinafter the same shall apply 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 obtained by dividing the transaction contract value pertaining to 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 by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure pertaining to 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 obtained by dividing the notional principal amount pertaining to the transaction 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 obtained by dividing the notional principal amount pertaining to 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 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 obtained by dividing the notional principal amount 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 obtained by dividing the notional principal amount pertaining to 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 obtained by dividing the notional principal amount pertaining to the transaction which is effected when the Options acquired or granted are exercised by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure pertaining to 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 obtained by multiplying the number obtained by dividing the transaction contract value pertaining to the transaction by the Agreed Figure for one Related Security (the figure obtained by dividing the Agreed Figure by the notional number of Related Securities pertaining to the transaction) by the volume of Specified Securities pertaining to Options or rights indicated on such 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 (including the transactions equivalent thereto specified by a Financial Instruments Exchange; hereinafter the same shall apply 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 obtained by multiplying the number obtained by dividing the transaction contract value pertaining to 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, by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure pertaining to a transaction which is established by a unilateral manifestation of intention by one of the parties to the transaction) for one Related Security by the volume of the Specified Securities related to the Options or rights indicated on such 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 obtained by multiplying the number obtained by dividing the notional principal amount pertaining to the transaction by the market value of one Related Security by the volume of Specified Securities related to the Options or rights indicated on such 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 obtained by multiplying the number obtained by dividing the notional principal amount pertaining to 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, by the Agreed Figure for Exercise of Rights for one Related Security by the volume of the Specified Securities pertaining to the Options or rights indicated on such 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 obtained by multiplying the number obtained by dividing the notional principal amount pertaining to the transaction by the market value of one Related Security by the volume of Specified Securities related to the Options or rights indicated on such 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 obtained by multiplying the number obtained by dividing the notional principal amount pertaining to 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 Related Security by the volume of the Specified Securities related to the Options or rights indicated on such 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 obtained by multiplying the number obtained by dividing the notional principal amount pertaining to the transaction effected when the Options acquired or granted are exercised by the Agreed Figure for Exercise of Rights (meaning the Agreed Figure pertaining to a transaction established by a unilateral manifestation of intention by one of the parties to the transaction) for one Related Security by the volume of the Specified Securities related to the Options or rights indicated on such 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) to item (v) inclusive of the Act, the transactions set forth in paragraph (22), item (ii) to item (vi) inclusive of that Article, or Foreign Market Derivatives Transactions (limited to the those similar to the transactions set forth in paragraph (21), item (ii) to item (v) inclusive of that Article) concerning Specified Securities: the volume obtained by deducting the volume set forth in sub-item (c) and sub-item (d) from the volume obtained by adding the volume set forth in the following sub-item (a) and sub-item (b) to the volume obtained by dividing the amount of Specified Securities of the Listed Company, etc. owned by an officer or Major Shareholder which are of the same kind as the Specified Securities subject to a transaction by said officer or Major Shareholder by the market value of one Specified Security as of the day on which the respective 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) to item (v) inclusive of the Act, the transactions set forth in paragraph (22), item (ii) to item (vi) inclusive 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 obtained by deducting the volume set forth in sub-item (c) and sub-item (d) of the preceding item from the volume obtained by adding the volume set forth in sub-item (a) and sub-item (b) of that item to the volume obtained by dividing the amount of the Specified Securities of said Listed Company, etc. owned by the relevant officer or Major Shareholder which are of the same class as the Specified Securities pertaining to the Options or rights indicated on the Related Securities subject to transaction by said officer or Major Shareholder by the market value for one Specified Security as of the day on which the respective 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 who 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 who 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)a case where the purchase or sale of share certificates pertaining to shares of a number less than the one unit of shares prescribed in Article 188, paragraph (1) of the Companies Act is conducted;

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)a case where a partner of a Specified Partnership, etc. (limited to those where all partners of the Specified Partnership are officers or employees of a Listed Company, etc. (including the officer or employee of another company over which the Listed Company, etc. has control directly or indirectly; hereinafter the same shall apply in this item) and which are based on a contract under which a joint purchase of share certificates of said Listed Company, etc. is promised; the same shall apply in the following item) has made purchase of share certificates of said Listed Company, etc. (in cases where said Listed Company, etc. purchases share certificates other than those which such Listed Company, etc. has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Articles 165, paragraph (3) of that Act), this shall be limited to the cases where such a purchase is made by Entrustment, etc. to a Financial Instruments Business Operator, etc.) and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each officer or employee is to contribute less than one million yen per occasion; the same shall apply 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)a case where a partner of a Specified Partnership, etc. concludes 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 said person engaged in Trust Business has made purchase of the share certificates of said Listed Company, etc. according to the instructions from said partner of a Specified Partnership, etc. and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which 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)a case where a partner of a Specified Partnership, etc. (limited to those where all partners of said Specified Partnership, etc. are employees of an Associated Company of a Listed Company, etc. and which are based on a contract under which the joint purchase of share certificates of said Listed Company, etc. is promised; the same shall apply in the following item) has made a purchase of share certificates of said Listed Company, etc. by Entrustment, etc. to a Financial Instruments Business Operator, etc. and such a purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each employee is to contribute less than one million yen per occasion; the same shall apply 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)a case where a partner of a Specified Partnership, etc. concludes 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 said person engaged in Trust Business has made a purchase of share certificates of said Listed Company, etc. according to the instructions from said partner of the Specified Partnership, etc. and such purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which 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)a case where a partner of a Specified Partnership, etc. (limited to those where all partners of said Specified Partnerships are Persons Who Have a Transaction Relationship with a Listed Company, etc. (meaning a person who has a transaction relationship with a Listed Company, etc. as designated by said Listed Company, etc.; hereinafter the same shall apply in this item) and which are based on a contract under which a joint purchase of share certificates of the Listed Company, etc. is promised) has made a purchase of share certificates of said Listed Company, etc. by Entrustment, etc. to a Financial Instruments Business Operator, etc. and such a purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where 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)a case in which a purchase of share certificates (including Preferred Equity Investment Certificates) of a Listed Company, etc. has been made by Entrustment, etc. to a Financial Instruments Business Operator pursuant to a Contract for Cumulative Investment, and such a purchase is found to have been made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where 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)a case where 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)a case where the sale and purchase 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)a case where a partner of a Specified Partnership, etc. makes a sale and purchase on condition of repurchase for which the repurchase price is set in advance pertaining to 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 said 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)the case where 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)the case where a person who holds share options has made a purchase of share certificates by exercising said 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)the case where 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 pertaining to 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 pertaining to 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 obtained by deducting the amount set forth in sub-item (h) to sub-item (m) inclusive from the amount obtained by adding the amount set forth in the following sub-item (a) to sub-item (g) inclusive 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 class as the Specified Securities subject to sale by said 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 obtained by deducting the amounts set forth in sub-item (h) to sub-item (m) inclusive of the preceding item from the amount obtained by adding the amounts set forth in sub-item (a) to sub-item (g) inclusive of that item 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 class as the Specified Securities pertaining to the Options or rights indicated on the Related Securities subject to sale or on the Seller Related Securities subject to purchase by said 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 sale and purchase of Specified Securities:the amount obtained by deducting the amounts set forth in sub-item (h) to sub-item (m) inclusive of item (i) from the amount obtained by adding the amounts set forth in sub-item (a) to sub-item (g) inclusive of that item 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 class as the Specified Securities subject to the sale and purchase 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 sale and purchase of Related Securities or Seller Related Securities:the amount obtained by deducting the amounts set forth in sub-item (h) to sub-item (m) inclusive of item (i) from the amount obtained by adding the amounts set forth in sub-item (a) to sub-item (g) inclusive of that item 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 class as the Specified Securities pertaining to the Options or rights indicated on the Related Securities or on the Seller Related Securities subject to the sale and purchase 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) to item (v) inclusive of the Act, the transactions set forth in paragraph (22), item (ii) to item (vi) inclusive of that Article, or Foreign Market Derivatives Transactions (limited those similar to the transactions set forth in paragraph (21), item (ii) to item (v) inclusive of that Article) concerning Specified Securities: the volume obtained by deducting the volume set forth in sub-item (c) and sub-item (d) from the volume obtained by adding the volume set forth in the following sub-item (a) and sub-item (b) to the volume obtained by dividing 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 kind as the Specified Securities subject to transaction by the relevant partner of the Specified Partnership, etc. by the market value of one Specified Security as of the day on which said 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) to item (v) inclusive of the Act, the transactions set forth in paragraph (22), item (ii) to item (vi) inclusive of that Article, or Foreign Market Derivatives Transactions (limited those similar to the transactions set forth in paragraph (21), item (ii) to item (v) inclusive of that Article) concerning Related Securities:the volume obtained by deducting the volume set forth in sub-item (c) and sub-item (d) of the preceding item from the volume obtained by adding the volume set forth in sub-item (a) and sub-item (b) of that item to the volume obtained by dividing 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 class as the Specified Securities related to the Options or rights indicated on the Related Securities subject to transaction by the partner of said Specified Partnership, etc.

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

二法第百六十六条第二項第一号ホに掲げる事項株式無償割当てにより一株に対し割り当てる株式の数の割合が〇・一未満であること。

(ii)the matter set forth in Article 166, paragraph (2), item (i), sub-item (e) of the Act:that the ratio of the number of shares to be allotted per share by the Allotment of Shares without Contribution shall be less than 0.1;

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 matter set forth in Article 166, paragraph (2), item (i), sub-item (f) of the Act:that the ratio of the number of shares increased per share (in case of Preferred Equity Investment, one unit) through a split of shares (including Preferred Equity Investment; hereinafter the same shall apply in this item) shall be 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 matter set forth in Article 166, paragraph (2), item (i), sub-item (g) of the Act:that the figure obtained by dividing the amount of dividend of surplus per share or per unit by the amount of dividend of surplus per share or per unit pertaining to the period that corresponds to each of their preceding business years shall be 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。）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 matter set forth in Article 166, paragraph (2), item (i), sub-item (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 share exchange falls under either of the following sub-items:

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 matter set forth in Article 166, paragraph (2), item (i), sub-item (j) of the Act: that the merger falls under either of the following sub-items:

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

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

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売上高の増加額が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 matter set forth in Article 166, paragraph (2), item (i), sub-item (n) of the Act:that in each business year which commences within three years from the day of commencement of the business year which includes the scheduled commencement date of sales of new products or of business which uses new technology, the amount of increase in net sales as a result of commercialization of said new products or new technology is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year, and the total amount of expenditures specially for the commencement of said sales of new products or business using new technology is expected to be less than the amount equivalent to ten percent of the book value of the Fixed Assets as of the last day of the most recent business year;

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 matter 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 sub-items:

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

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売上高の減少額が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 matter set forth in Article 28, item (iv) of the Order:that in each business year which commences within three years from the day of commencement of the business year which includes the scheduled date of suspension or abolition of business in whole or in part, the amount of decrease in net sales as a result of said suspension or abolition is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year;

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売上高の増加額が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 matter set forth in Article 28, item (ix) of the Order:that in each business year which commences within three years from the day of commencement of the business year which includes the scheduled date of the commencement of a new business (including commercialization of sales of new products or provision of new services; hereinafter the same shall apply in this item and Article 52, paragraph (1), item (xi) and paragraph (2), item (xi)), the amount of increase in net sales as a result of said commencement of a new business is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year, and the total amount of special expenditures for the commencement of a new business is expected to be less than the amount equivalent to ten percent of the book value of the Fixed Assets as of the last day of the most recent business year.

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 matter set forth in Article 166, paragraph (2), item (ii), sub-item (a) of the Act:that the amount of damage arising from a disaster or in the course of operations is expected to be less than the amount equivalent to three percent of the Amount of Net Assets as of the last day of the most recent 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), sub-item (c) of the Act:that a fact that may be grounds for delisting or recession of registration of Securities or Preferred Shares (meaning the class of shares which have a precedence on a dividend of surplus; hereinafter the same shall apply 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 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 such fact falls under either of the following sub-items:

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 such fact falls under either of the following sub-items:

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売上高の減少額が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 which commences within three years from the day of commencement of the business year which includes the day of disposition under laws and regulations, the amount of reduction in net sales as a result of a disposition under laws and regulations is expected to be less than the amount equivalent to ten percent of the amount of the net sales in the most recent business year;

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 the amount equivalent to three percent of the Amount of Net Assets as of the last day of the most recent 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売上高の減少額が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 which commences within three years from the day of commencement of the business year which 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 shall apply in Article 53, paragraph (1), item (vi) and paragraph (2), item (vi)), the amount of reduction in net sales as a result of the suspension of said transaction is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year;

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 the amount equivalent to ten percent of the total amount of obligations as of the last day of the most recent 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売上高の増加額が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 which commences within three years from the day of commencement 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 said resource is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year; 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 shall be 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 shall apply in this item) pertaining to Preferred Stocks (excluding facts which shall be 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 obtained by dividing the newly calculated forecast or the figure in the settlement of account for the business year by the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) 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 obtained by dividing the newly prepared forecasts or the results in the settlement of account for the business year by the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) is not less than 1.3, or not more than 0.7 (in cases where the latest publicized forecasts or the results of the preceding business year which have been publicized for lack of said forecasts are zero, such cases shall all be deemed to fall under this criteria), and that the figure obtained by dividing the newly prepared forecast or the difference obtained by deducting the smaller from the larger between the results in the settlement of account for the respective business year and the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) by the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, whichever is larger, is not less than five 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 obtained by dividing the newly prepared forecasts or the results in the settlement of account for the business year by the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) is not less than 1.3, or not more than 0.7 (in cases where the latest publicized forecasts or the results of the preceding business year which have been publicized for lack of said forecasts, such cases shall all be deemed to fall under this criteria), and that the figure obtained by dividing the newly prepared forecast or the difference obtained by deducting the smaller from the larger between the results in the settlement of account for the business year and the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) by the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, whichever is larger, is not less than 0.25 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 obtained by dividing the newly prepared forecasts or the results in the settlement of account for the business year (including a figure fixed not through the settlement of accounts) by the latest publicized forecasts (or the publicized results of the dividend of surplus for the period corresponding to the preceding business year in the case of a lack of such forecasts) is not less than 1.2, or not more than 0.8 (in cases where the latest publicized forecasts or the results of the preceding business year which have been publicized for lack of said forecasts, such cases shall all be deemed to 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 matter set forth in Article 166, paragraph (2), item (v), sub-item (a) of the Act: that the share exchange falls under either of the following sub-items:

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

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 matter set forth in Article 166, paragraph (2), item (v), sub-item (c) of the Act: that the merger falls under either of the following sub-items:

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

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

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)-2the matter set forth in Article 166, paragraph (2), item (v), sub-item (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 shall apply in this item and item (v)-2 of the following paragraph) is expected to be less than the amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the most recent business year of said Corporate Group, and both in the business year of said Corporate Group that includes the scheduled date of such dissolution and in the following business year, the amount of decrease in the net sales of said Corporate Group as a result of said dissolution is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year of said 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売上高の増加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 matter set forth in Article 166, paragraph (2), item (v), sub-item (g) of the Act:that in each business year which commences within three years from the day of commencement of the business year which 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 new products or new technology is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year of the Corporate Group to which the relevant Listed Company, etc. belongs, 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 the amount equivalent to ten percent of the book value of the Fixed Assets as of the last day of the most recent business year of said 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 matter 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 sub-items:

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 matter 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 matter 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 the amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the most recent business year of said 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売上高の減少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 matter set forth in Article 29, item (iv) of the Order:that in each business year which commences within three years from the day of commencement of the business year which includes the scheduled date of suspension or abolition of business in whole or in part, the amount of decrease in net sales as a result of said suspension or abolition is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year of the Corporate Group to which the Listed Company, etc. belongs;

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上場会社等の属する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 matter set forth in Article 29, item (vi) of the Order:that in each business year which commences within three years from the day of commencement of the business year which 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 the amount equivalent to ten percent of the net sales in the most recent business year of the Corporate Group to which the Listed Company, etc. belongs, and that the total amount of special expenditures for the commencement of said new business is expected to be less than the amount equivalent to ten percent of the book value of the Fixed Assets as of the last day of the most recent business year of said 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 matter set forth in Article 29, item (viii) of the Order:that in cases where Sales and Purchases, etc. (meaning the Sales and Purchase, etc. prescribed in Article 166, paragraph (1) of the Act; hereinafter the same shall apply in this Chapter) concerning 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 shall be decided based on the dividend of surplus of a specific Subsidiary Company; the same shall apply hereinafter) are made, the decision regarding the dividend of surplus of a Linked Subsidiary Company has been made.

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

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

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 matter set forth in Article 166, paragraph (2), item (v), sub-item (c) of the Act: that the merger falls under either of the following sub-items:

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

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

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)-2the matter set forth in Article 166, paragraph (2), item (v), sub-item (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 the amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the most recent business year of said Linked Subsidiary Company, and that both in the business year of said Linked Subsidiary Company which includes the scheduled date of said dissolution and in the following business year, the amount of decrease in the net sales of said Linked Subsidiary Company as a result of said dissolution is expected to be less than the amount equivalent to ten percent of the amount of the net sales in the most recent business year of said 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 matter set forth in Article 166, paragraph (2), item (v), sub-item (g) of the Act:that in each business year which commences within three years from the day of commencement of the business year which 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 said new products or new technology is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year of the relevant Linked Subsidiary Company, and that the total amount of special expenditures for the commencement of said sales of new products or business which uses new technology are expected to be less than the amount equivalent to ten percent of the book value of the Fixed Assets as of the last day of the most recent business year of said 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 matter 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 sub-items:

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 matter 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 matter 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 the amount equivalent to 30 percent of the Amount of Net Assets as of the last day of the most recent 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 matter set forth in Article 29, item (iv) of the Order:that in each business year which commences within three years from the day of commencement of the business year which includes the scheduled suspension or abolition date of business in whole or in part, the amount of decrease in net sales as a result of the suspension or abolition of business is expected to be less than the amount equivalent to ten percent of the net sales in the most recent 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 matter set forth in Article 29, item (vi) of the Order:that in each business year which commences within three years from the day of commencement of the business year which 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 the amount equivalent to ten percent of the net sales in the most recent 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 the amount equivalent to ten percent of the book value of the Fixed Assets as of the last day of the most recent 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 matter set forth in Article 29, item (viii) of the Order:that the figure obtained by dividing the amount of dividend of surplus per share by the amount of dividend of surplus per share pertaining to the period corresponding to the preceding business year shall be more than 0.8 and less than 1.2 (limited to cases where the amount of dividend of surplus per share in the most recent business year of the Linked Subsidiary Company and the amount of dividend of surplus per share in the most recent 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 matter set forth in Article 166, paragraph (2), item (vi), sub-item (a) of the Act:that the amount of damage arising from disaster or in the course of operations is expected to be less than the amount equivalent to three percent of the Amount of Net Assets as of the last day of the most recent 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 such fact falls under either of the following sub-items:

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 such fact falls under either of the following sub-items:

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上場会社等の属する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。

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

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 the amount equivalent to three percent of the Amount of Net Assets as of the last day of the most recent 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売上高の減少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 which commences within three years from the day of commencement of the business year which 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 the amount equivalent to ten percent of the net sales in the most recent business year of the Corporate Group to which the relevant Listed Company, etc. belongs;

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 shall be less than the amount equivalent to ten percent of the total amount of obligations as of the last day of the most recent 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売上高の増加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 which commences within three years from the day of commencement 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 said resource is expected to be less than the amount equivalent to ten percent of the net sales in the most recent business year of the Corporate Group to which the relevant Listed Company, etc. belongs.

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), sub-item (a) of the Act:that the amount of damage arising from disaster or in the course of operations is expected to be less than the amount equivalent to three percent of the Amount of Net Assets as of the last day of the most recent 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 such fact falls under either of the following sub-items:

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 such fact falls under either of the following sub-items:

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 which commences within three years from the day of commencement of the business year which 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 the amount equivalent to ten percent of the amount of the net sales in the most recent 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 the amount equivalent to three percent of the Amount of Net Assets as of the last day of the most recent 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 which commences within three years from the day of commencement of the business year which 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 said transaction is expected to be less than the amount equivalent to ten percent of the net sales in the most recent 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 shall be less than the amount equivalent to ten percent of the total amount of obligations as of the last day of the most recent 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 which commences within three years from the day of commencement 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 said resource is expected to be less than the amount equivalent to ten percent of the net sales in the most recent 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 obtained by dividing the newly prepared forecast or the figure in the settlement of account for the respective business year by the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) shall be 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 obtained by dividing the newly prepared forecasts or the results in the settlement of account for the business year by the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) is not less than 1.3, or not more than 0.7 (in cases where the latest publicized forecasts or the results of the preceding business year which have been publicized for lack of said forecasts are zero, such cases shall all be deemed to fall under this criteria), and the figure obtained by dividing the newly prepared forecast or the difference obtained by deducting the smaller from the larger between the results in the settlement of account for the business year and the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) by the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, whichever is larger, is not less than five 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 obtained by dividing the newly prepared forecasts or the results in the settlement of account for the business year by the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) is not less than 1.3, or not more than 0.7 (in cases where the latest publicized forecasts or the results of the preceding business year which have been publicized for lack of said forecasts are zero, such cases shall all be deemed to fall under this criteria), and the figure obtained by dividing the newly prepared forecast or the difference obtained by deducting the smaller from the larger between the results in the settlement of account for the business year and the latest publicized forecasts (or publicized actual figures of the preceding business year in the case of a lack of such forecasts) by the Amount of Net Assets or the amount of stated capital as of the last day of the preceding business year, whichever is larger, is not less than five percent.

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 pertaining to shares with no voting rights on any of the matters which may be resolved at a shareholders meeting;

二新株予約権証券又は新株予約権付社債券のうち前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

(ii)share option certificates or corporate bond certificates with share options with the right to acquire only shares set forth in preceding item; and

三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

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

一有価証券信託受益証券で、株券、新株予約権証券又は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、前項各号に掲げるものを除く。次号において同じ。）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, or corporate bond certificates with share options (including securities or certificates issued by a foreign person which have the nature of such Securities and excluding those set forth in the items of the preceding paragraph; the same shall apply in the following item) (referred to as the "Beneficiary Certificates 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、新株予約権証券又は新株予約権付社債券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)the Securities set forth in Article 2, paragraph (1), item (xx) of the Act which indicate rights pertaining to share certificates, share option certificates, or corporate bond certificates with share options (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 method in which said number is the number of voting rights pertaining to 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 said number is the number of voting rights pertaining to 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 issued by a foreign person which have the nature of share certificates, the method in which said number is the number of voting rights pertaining to shares, and for those which have the nature of share option certificates or corporate bond certificates with share options, the method in which said number is the number of voting rights pertaining to the shares into which the securities or certificates have been converted in a way equivalent to the securities or certificates issued by a domestic 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、当該各号に掲げる数とする方法

(iv)for Beneficiary Certificates of Share Certificates, etc. in Trust, the method in which said number shall be the number set forth in the following items according to the category of the Entrusted Securities set forth in the respective 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、当該各号に掲げる数とする方法

(v)for Depository Receipts for Share Certificates, etc., the method in which said number is the number set forth in the following items according to the category of Securities pertaining to 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)cases where a person who has, before coming to know a Material Fact Pertaining to Business or Other Matters (meaning a Material Fact Pertaining to Business or Other Matters prescribed in Article 166, paragraph (1) of the Act; hereinafter the same shall apply in this paragraph), concluded a contract regarding Sales and Purchases, etc. concerning Specified Securities, etc. issued by a Listed Company, etc. in writing with the Listed Company, etc., makes said Sales and Purchases, etc. in performance of said contract on the date of Sales and Purchases, etc. specified in the written contract, or during a period from ten days prior to the time limit for said Sales and Purchases, etc. specified in the written contract until such 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)cases where a person who has, before coming to know a Material Fact Pertaining to Business or Other Matters, concluded a contract for a Margin Transaction with a Financial Instruments Business Operator, makes a Reversing Trade in performance of said contract during a period from ten days prior to the deferred time limit of performance of obligations pertaining to 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)cases where a person who has, before coming to know a Material Fact Pertaining to Business or Other Matters, concluded a contract regarding the transactions set forth in Article 2, paragraph (21), item (v) or paragraph (22), item (vi) of the Act concerning Specified Securities, etc. in writing, pays or receives money between the parties, and transfers said Specified Securities, etc. in performance of said contract in cases where any causes set forth in Article 2, paragraph (21), item (v), sub-item (a) or (b) or paragraph (22), item (vi), sub-item (a) or (b) of the Act occur;

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)cases where an officer or employee of a Listed Company, etc. (including an officer or employee of another company over which said Listed Company has control, directly or indirectly; hereinafter the same shall apply in this item and the following item) jointly with another officer or employee of said Listed Company, etc. makes a purchase of share certificates of said Listed Company, etc. (limited to cases where such purchase is to be made by Entrustment, etc. to a Financial Instruments Business Operator, etc. when said Listed Company, etc. purchases share certificates other than the share certificates which said Listed Company, etc. has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Articles 165, paragraph (3) of that Act)) and such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each officer or employee contributes less than one million yen per occasion; the same shall apply 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)cases where an 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 of the Listed Company, etc. where pursuant to the trust contract, said officer or employee gives instructions for the purchase of share certificates of the Listed Company, etc. to said person engaged in Trust Business, and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is said 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)cases where an employee of an Associated Company of a Listed Company, etc. jointly with another employee of said Associated Company makes a purchase of share certificates of said Listed Company, etc. by Entrustment, etc. to a Financial Instruments Business Operator (excluding cases set forth in item (iv)) and such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each employee contributes less than one million yen per occasion; the same shall apply 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)cases where 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 said Listed Company, etc. where pursuant to the trust contract, said officer or employee gives instructions for the purchase of share certificates of the Listed Company, etc. to said person engaged in Trust Business (excluding cases set forth in item (v)), and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is said employee and the trust property for which the settlor is another employee of said 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)cases where a Person Who Has a Transaction Relationship with a Listed Company, etc. (meaning a person who has a transaction relationship with the Listed Company, etc. as designated by the Listed Company, etc.; hereinafter the same shall apply in this item) jointly with another Person Who Has a Transaction Relationship with said Listed Company, etc. makes a purchase of share certificates of the Listed Company, etc. by Entrustment, etc. to a Financial Instruments Business Operator and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each Person Who Has a Transaction Relationship contributes 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。）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)cases where a purchase of share certificates (including Preferred Equity Investment) of a Listed Company, etc. is made by Entrustment, etc. to a Financial Instruments Business Operator pursuant to a Contract for Cumulative Investment, and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where 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)cases where Purchase, etc. (meaning the Purchase, etc. prescribed in Article 27-2, paragraph (1) of the Act) is made in accordance with the plan of tender offer prescribed in Article 27-2, paragraph (1) of the Act for which a Public Notice for Commencing Tender Offer under Article 27-3, paragraph (2) of the Act is made, before a Material Fact Pertaining to Business or Other Matters has come to be known;

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)cases where Purchase, etc. (meaning the Purchase, etc. prescribed in Article 27-22-2, paragraph (1) of the Act) is made in accordance with the plan of tender offer prescribed in Article 27-22-2, paragraph (1) of the Act of which the Director General of the Kanto Finance Bureau has been notified 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 a Material Fact Pertaining to Business or Other Matters has come to be known; and

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)cases where the Secondary Distribution of the Specified Securities (limited to those for which a Financial Instrument Business Operator handles the Secondary Distribution) or the Solicitation for Selling, etc. Only for Professional Investors (limited to those for which a Financial Instruments Business Operator handles the Solicitation for Selling, etc. Only for Professional Investors) is made in accordance with a plan concerning the Secondary Distribution of Specified Securities or the Solicitation for Selling, etc. Only for Professional Investors for which the consent of the Issuer has been obtained or a plan concerning the Secondary Distribution of Specified Securities or Solicitation for Selling, etc. Only for Professional Investors which has been disclosed in accordance with the measures for publication specified in Article 30 of the Order, before a Material Fact Pertaining to Business or Other Matters has come to be known.

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)in cases where a Listed Company, etc. holds voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of another company, said other company; or

二前号の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)in cases where the company under the preceding item holds voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of another company, said other company.

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)in cases where a Listed Company, etc. holds voting rights of not less than 25 percent of the Voting Rights Held by All the Shareholders, etc. of another company, such other company;

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)in cases where the net sales of another company to a Listed Company, etc. in the previous business year were not less than 50 percent of the total amount of net sales of the other company, such other company; 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)in cases where the purchases of another company from a Listed Company, etc. in the previous business year were not less than 50 percent of the total amount of purchase of the other company, such other company.

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)the transactions set forth in Article 2, paragraph (21), item (ii) of the Act concerning Share Certificates, etc. (meaning the Share Certificates, etc. prescribed in Article 167, paragraph (1) of the Act; hereinafter the same shall apply except in Article 62):the transactions in which the person is the party to receive money when the Actual Figure exceeds the Agreed Figure (in cases of Seller Related Share Certificates, etc., the party to pay money; hereinafter the same shall apply 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)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 (including the transactions equivalent thereto specified by a Financial Instruments Exchange; hereinafter the same shall apply in this item) concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the Actual Figure exceeds the Agreed Figure in the transaction set forth in item (ii) of that paragraph that are related to said Options, or Options equivalent thereto specified by a Financial Instruments Exchange) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money (in cases of Seller Related Share Certificates, etc., the party to receive money; hereinafter the same shall apply in this Article and the following Article) when the Actual Figure exceeds the Agreed Figure in the transaction set forth in item (ii) of that paragraph that are related to said Options, or Options equivalent thereto specified by a Financial Instruments Exchange);

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)the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the sale and purchase of Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer (in cases of Seller Related Share Certificates, etc., the position as a seller; hereinafter the same shall apply in this Article and the following Article) in the sale and purchase of Share Certificates, etc. related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer (in cases of Seller Related Share Certificates, etc., the position as a seller; hereinafter the same shall apply in this Article and the following Article) in the sale and purchase of Share Certificates, etc. related to said Options);

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)the transactions set forth in Article 2, paragraph (21), item (iv) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to receive money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction;

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)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 concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transaction set forth in item (iv) of that paragraph that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Share Certificates, etc. rises compared to the price at the time of entering in to the agreement for the transaction or the party to receive money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transaction set forth in item (iv) of that paragraph that are related to said Options);

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)the transactions set forth in Article 2, paragraph (21), item (v) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur;

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)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 concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transaction set forth in item (v) of that paragraph that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transaction set forth in item (v) of that paragraph that are related to said Options);

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)Foreign Market Derivatives Transactions concerning Share Certificates etc.:anything similar to the transactions specified in the preceding items according to the category of transactions set forth in the respective items;

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)the transactions set forth in Article 2, paragraph (22), item (ii) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to receive money when the Actual Figure exceeds the Agreed Figure, or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (ii) of that paragraph concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the sale and purchase of Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer in the sale and purchase of Share Certificates, etc. related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of Share Certificates, etc. related to said Options, or Options 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)the transactions set forth in Article 2, paragraph (22), item (iv) of the Act concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the actual price of said Share Certificates, etc. at the actual time of the exercise of the Options exceeds the figure agreed upon in advance as the price of the Share Certificates, etc. in the case of exercise of Options, in the transactions that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the actual price of said Share Certificates, etc. at the actual time of the exercise of the Options exceeds the figure agreed in advance as price of the Share Certificates, etc. in the case of exercise of Options, in the transactions that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (v) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to receive money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (v) of that paragraph concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transaction set forth in item (v) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transaction set forth in item (v) of that paragraph that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (vi) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, or any other transactions similar thereto; 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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (vi) of that paragraph concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transactions set forth in item (vi) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transactions set forth in item (vi) of that paragraph that are related to said Options, or Options similar thereto).

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)the transactions set forth in Article 2, paragraph (21), item (ii) of the Act, concerning Share Certificates, etc.:the transactions in which the person is the party to pay money when 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)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 (including the transactions equivalent thereto specified by a Financial Instruments Exchange; hereinafter the same shall apply in this item) concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options equivalent thereto specified by a Financial Instruments Exchange) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options equivalent thereto specified by a Financial Instruments Exchange);

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)the transactions set forth in Article 2, paragraph (21), item (iii) of the Act related to the sale and purchase of Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of Share Certificates, etc. related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position as a buyer in the sale and purchase of Share Certificates, etc. related to said Options);

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)the transactions set forth in Article 2, paragraph (21), item (iv) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to pay money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Share Certificates, etc. falls compared to the price at the time of entering in to the agreement for the transaction;

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)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 concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (iv) of that paragraph that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (iv) of that paragraph that are related to said Options);

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)the transactions set forth in Article 2, paragraph (21), item (v) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur;

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)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 concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transactions set forth in item (v) of that paragraph that are related to said Options) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transactions set forth in item (v) of that paragraph that are related to said Options);

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)Foreign Market Derivatives Transactions concerning Share Certificates, etc.:anything similar to the transactions specified in the preceding items according to the category of transactions set forth in the respective items;

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)the transactions set forth in Article 2, paragraph (22), item (ii) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to pay money when the Actual Figure exceeds the Agreed Figure, or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (ii) of that paragraph concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the Actual Figure exceeds the Agreed Figure in the transactions set forth in item (ii) of that paragraph that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the sale and purchase of Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options acquires the position as a seller in the sale and purchase of Share Certificates, etc. related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options acquires the position of a buyer in the sale and purchase of Share Certificates, etc. related to said Options, or Options 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)the transactions set forth in Article 2, paragraph (22), item (iv) of the Act concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the actual price of said Share Certificates, etc. at the actual time of the exercise of the Options exceeds the figure agreed upon in advance as the price of the Share Certificates, etc. in the case of exercise of Options, in the transactions that are related to said Options, or those similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the actual price of said Share Certificates, etc. at the actual time of the exercise of the Options exceeds the figure agreed upon in advance as the price of the Share Certificates, etc. in the case of exercise of Options in the transactions that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (v) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to pay money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, or any other transactions similar thereto;

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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (v) of that paragraph concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to receive money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (v) of that paragraph that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the price of the Share Certificates, etc. rises compared to the price at the time of entering into the agreement for the transaction, or the party to pay money when the price of the Share Certificates, etc. falls compared to the price at the time of entering into the agreement for the transaction, in the transactions set forth in item (v) of that paragraph that are related to said Options, or Options similar thereto);

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)the transactions set forth in Article 2, paragraph (22), item (vi) of the Act concerning Share Certificates, etc.:the transactions in which the person is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur, or any other transactions similar thereto; 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)the transactions set forth in Article 2, paragraph (22), item (iii) of the Act related to the transactions set forth in item (vi) of that paragraph concerning Share Certificates, etc.:the acquisition of Options (limited to Options wherein the person who exercises the Options is the party to receive money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transactions set forth in that item that are related to said Options, or Options similar thereto) and the granting of Options (limited to Options wherein the person who exercises the Options is the party to pay money when the causes agreed upon by the parties in advance and set forth in sub-item (a) or sub-item (b) of that item occur in the transactions set forth in that item that are related to said Options, or Options similar thereto).

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である会社との間で当該会社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)cases where a person who has, before coming to know a Fact Concerning a Tender Offer, etc., concluded a contract regarding Purchase, etc. (meaning the Purchase, etc. prescribed in Article 167, paragraph (1) of the Act; hereinafter the same shall apply except in item (x) and item (xi)) or Sale, etc. (meaning the Sales, etc. prescribed in Article 167, paragraph (1) of the Act; hereinafter the same shall apply in this paragraph) concerning Share Certificates, etc. issued by the company which is the Issuer of Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. in writing with such company, makes said Purchase, etc. or Sale, etc. in performance of said contract on the date of Purchase, etc. or Sale, etc. specified in the written contract, or during a period from ten days prior to the time limit for said Purchase, etc. or Sale, etc. specified in the written contract until such 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)cases where a person who has, before coming to know a Fact Concerning Tender Offer, etc., concluded a contract for a Margin Transaction with a Financial Instruments Business Operator, makes a Reversing Trade in performance of said contract during a period from ten days prior to the deferred time limit for the performance of obligations pertaining to 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)cases where a person who has, before coming to know a Fact Concerning Tender Offer, etc., concluded a contract regarding the transactions set forth in Article 2, paragraph (21), item (v) or paragraph (22), item (vi) of the Act concerning Share Certificates, etc. subject to a Tender Offer, etc. in writing, pays or receives money between the parties, and transfers said Share Certificates, etc. in performance of said contract in cases where any causes set forth in Article 2, paragraph (21), item (v), sub-item (a) or (b) or paragraph (22), item (vi), sub-item (a) or (b) of the Act occur;

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である会社の役員又は従業員（当該会社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。）が当該会社の他の役員又は従業員と共同して当該会社の株券の買付けを行う場合（当該会社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)cases where an officer or employee of a company which is the Issuer of the Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. subject to a Tender Offer, etc. (including an officer or employee of another company over which the aforementioned company has control, directly or indirectly,; hereinafter the same shall apply in this item and the following item) jointly with another officer or employee of the company makes purchase of share certificates of said company (limited to the cases where such purchase is made by Entrustment, etc. to a Financial Instruments Business Operator, etc. when said company purchases share certificates other than the share certificates which the company has purchased pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Articles 165, paragraph (3) of said Act)) and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each officer or employee contributes less than one million yen per occasion; the same shall apply 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である会社の役員又は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、当該役員又は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会社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)cases where an officer or employee of a company which is the Issuer of the Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. subject to a Tender Offer, etc. concludes a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates of said company where pursuant to the trust contract, said officer or employee gives instructions for the purchase of share certificates of the company to said person engaged in Trust Business, and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is said officer or employee and the trust property for which the settlor is another officer or employee of the company 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)cases where 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. pertaining to a Tender Offer, etc. jointly with another employee of said Associated Company makes a purchase of share certificates of said company by Entrustment, etc. to a Financial Instruments Business Operator (excluding cases set forth in item (iv)) and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each employee contributes less than one million yen per occasion; the same shall apply 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)cases where 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. concludes a trust contract with a person engaged in Trust Business for the purpose of investing trust property in share certificates of said company where pursuant to the trust contract, said officer or employee gives instructions for the purchase of share certificates of the company to said person engaged in Trust Business (excluding cases set forth in item (v)), and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases in which the trust property for which the settlor is said employee and the trust property for which the settlor is another employee of said 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)cases where a Person Who Has a Transaction Relationship with the company which is the Issuer of Listed or Other Share Certificates, etc. or of Listed Share Certificates, etc. pertaining to a Tender Offer (meaning a person who has a transaction relationship with the company as designated by the company; hereinafter the same shall apply in this item) jointly with another Person Who Has a Transaction Relationship with said company makes a purchase of share certificates of the company, etc. by Entrustment, etc. to a Financial Instruments Business Operator, and where such purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where each Person Who Has a Transaction Relationship contributes 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である会社の発行する株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)cases where a purchase of share certificates 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 is made by Entrustment, etc. to a Financial Instruments Business Operator pursuant to a Contract for Cumulative Investment, and where such a purchase is made continuously according to a certain plan, without depending on an individual investment decision (limited to cases where 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)cases where a Purchase, etc. (meaning the Purchase, etc. prescribed in Article 27-2, paragraph (1) of the Act) is made in accordance with the plan of a tender offer prescribed in Article 27-2, paragraph (1) of the Act for which a Public Notice for Commencing Tender Offer under Article 27-3, paragraph (2) of the Act is made, before a Fact Concerning a Tender Offer, etc. has come to be known;

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)cases where a Purchase, etc. (meaning the Purchase, etc. prescribed in Article 27-22-2, paragraph (1) of the Act) is made in accordance with the plan of a tender offer prescribed in Article 27-22-2, paragraph (1) of the Act of which the Director General of the Kanto Finance Bureau was notified 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 a Fact Concerning a Tender Offer, etc. has come to be known;

十二公開買付け等事実を知る前に発行者である会社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誘等の取扱いを行うものに限る。）を行う場合

(xii)cases where the Secondary Distribution of Listed or Other Share Certificates, etc. (limited to those for which a Financial Instruments Business Operator handles the Secondary Distribution) or Solicitation for Selling, etc. Only for Professional Investors (limited to those for which a Financial Instruments Business Operator handles the Solicitation for Selling, etc. Only for Professional Investors) is made in accordance with a plan concerning the Secondary Distribution of Listed or Other Share Certificates, etc. or the Solicitation for Selling, etc. Only for Professional Investors for which the consent of the company which is the Issuer has been obtained or a plan concerning the Secondary Distribution of Listed or Other Share Certificates, etc. or Solicitation for Selling, etc. Only for Professional Investors which has been disclosed in accordance with the measures of publication specified in Article 30 of the Order, before a Fact Concerning a Tender Offer, etc. has come to be known.

一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)in cases where a company which is the Issuer of Listed or Other Share Certificates, etc. or of Listed Share Certificates, etc. subject to a Tender Offer holds voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of another company, said other company; or

二前号の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)in cases where the company under the preceding item holds voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of another company, said other company.

一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)in cases where 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. holds voting rights of not less than 25 percent of the Voting Rights Held by All the Shareholders, etc. of another company, said other company;

二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の場合における当該他の会社

(ii)in cases where the net sales of another company to a company which is the Issuer of the Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. pertaining to a Tender Offer in the previous business year were not less than 50 percent of the total amount of net sales of said other company, said other company; or

三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の場合における当該他の会社

(iii)in cases where the purchases of another company from a company which is the Issuer of Listed or Other Share Certificates, etc. or Listed Share Certificates, etc. pertaining to a Tender Offer in the previous business year were not less than 50 percent of the total amount of sales of said other company, said other company.

一法第二条第一項第十二号に掲げる有価証券のうち、元本補てんの契約の存する貸付信託の受益証券

(i)among the Securities set forth in Article 2, paragraph (1), item (xii) of the Act, Beneficiary Securities of loan trusts with a contract clause for covering the principal;

二定義府令第二条に規定する有価証券

(ii)the Securities prescribed in Article 2 of the Ordinance on Definitions;

三法第二条第一項第十七号に掲げる有価証券のうち、同項第一号から第六号まで及び前二号に掲げる有価証券の性質を有するもの

(iii)among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, those which have the nature of the Securities set forth in item (i) to item (vi) inclusive of that paragraph and the preceding two items;

四定義府令第三条に規定する有価証券

(iv)the Securities prescribed in Article 3 of the Ordinance on Definitions;

五法第二条第一項第十九号に掲げる有価証券のうち、同項第一号から第六号まで又は前各号若しくは次号から第九号までに掲げる有価証券に係るもの

(v)among the Securities set forth in Article 2, paragraph (1), item (xix) of the Act, those which are related to the Securities set forth in item (i) to item (vi) inclusive of that paragraph or in the preceding items or the following item to item (ix) inclusive;

六法第二条第一項第二十号に掲げる有価証券のうち、同項第一号から第六号まで又は前各号に掲げる有価証券に係る権利を表示するもの

(vi)among the Securities set forth in Article 2, paragraph (1), item (xx) of the Act, those which indicate the rights pertaining to the Securities set forth in item (i) to item (vi) inclusive of that paragraph or in the preceding items;

七令第一条第一号及び第二号に掲げる有価証券

(vii)the Securities set forth in Article 1, items (i) and (ii) of the Order;

八法第二条第二項の規定により有価証券とみなされる同項第一号に掲げる信託の受益権及び同項第二号に掲げる権利のうち、元本補てんの契約の存するもの

(viii)among the beneficial interest of a trust set forth in Article 2, paragraph (2), item (i) of the Act and the rights set forth in item (ii) of that paragraph which are regarded as Securities under that paragraph, those which have a contract clause for covering the principal; and

九法第二条第二項の規定により有価証券とみなされるもののうち、令第一条の三の四に規定する権利

(ix)among those regarded as Securities under the provisions of Article 2, paragraph (2) of the Act, the rights prescribed in Article 1-3-4 of the Order.

一定義府令第二条に規定する有価証券

(i)the Securities prescribed in Article 2 of the Ordinance on Definitions;

二法第二条第一項第十七号に掲げる有価証券のうち、同項第一号から第六号まで及び前号に掲げる有価証券の性質を有するもの

(ii)among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, those which have the nature of the Securities set forth in item (i) to item (vi) inclusive of that paragraph and the preceding item;

三定義府令第三条に規定する有価証券

(iii)the Securities prescribed in Article 3 of the Ordinance on Definitions;

四法第二条第一項第十九号に掲げる有価証券のうち、同項第一号から第六号まで又は前三号若しくは次号から第八号までに掲げる有価証券に係るもの

(iv)among the Securities set forth in Article 2, paragraph (1), item (xix) of the Act, those which are related to the Securities set forth in item (i) to item (vi) inclusive of that paragraph or in the preceding three items or the following item to item (viii) inclusive;

五法第二条第一項第二十号に掲げる有価証券のうち、同項第一号から第六号まで又は前各号に掲げる有価証券に係る権利を表示するもの

(v)among the Securities set forth in Article 2, paragraph (1), item (xx) of the Act, those which indicate the rights pertaining to the Securities set forth in item (i) to item (vi) inclusive of that paragraph or the preceding items;

六令第一条第一号及び第二号に掲げる有価証券

(vi)the Securities set forth in Article 1, items (i) and (ii) of the Order;

七法第二条第二項の規定により有価証券とみなされる同項第一号に掲げる信託の受益権及び同項第二号に掲げる権利のうち、利益を補足する契約の存するもの

(vii)among the beneficial interest of a trust set forth in Article 2, paragraph (2), item (i) of the Act and the rights set forth in item (ii) of that paragraph which are regarded as Securities under the provisions of that paragraph, those which have a contract clause for compensation of profits; and

八法第二条第二項の規定により有価証券とみなされるもののうち、令第一条の三の四に規定する権利

(viii)among those regarded as Securities under the provisions of Article 2, paragraph (2) of the Act, the rights prescribed in Article 1-3-4 of the Order.