Article 163Submission of Reports on Purchase and Sales of Regulated Securities by the Officer of a Listed Company

①If an officer (including an officer of the asset management company (meaning an asset management company as defined in Article 2, paragraph (21) of the Act on Investment Trusts and Investment Corporations; the same applies in Article 166) of a listed company, etc. that is an investment corporation prescribed in Article 2, paragraph (12) of that Act (referred to as a "listed investment corporation, etc." in Article 166); hereinafter the same applies in this Article through Article 165) or a major shareholder (meaning a shareholder that holds, in its own name or in the name of another person (including a fictitious person), voting rights of 10 percent or more of the voting rights of all shareholders, etc. (excluding those specified by Cabinet Office Order in consideration of the manner of acquisition or holding and other circumstances); hereinafter the same applies in this Article through Article 166) of an issuer of securities that fall under Article 2, paragraph (1), item (v), (vii), (ix), or (xi) (excluding those specified by Cabinet Order) and are listed on a financial instruments exchange, that fall under over-the-counter traded securities or tradable securities, or that are other securities specified by Cabinet Order (hereinafter referred to as a "listed company, etc." in this Article through Article 166 and Article 167-2, paragraph (1)) has, on their own account, conducted a purchase, etc. (meaning the purchase of regulated securities or related securities (hereinafter referred to as "regulated securities, etc." in this Article through Article 166, Article 167-2, paragraph (1), Article 175-2, and Article 197-2, paragraph (1), item (xiv)) and other transactions specified by Cabinet Order; hereinafter the same applies in this Article, the following Article, and Article 165-2) or a sale, etc. (meaning the sale of regulated securities, etc. and other transactions specified by Cabinet Order; hereinafter the same applies in this Article through Article 165-2) relating to securities of the listed company, etc. that fall under Article 2, paragraph (1), item (v), (vii), (ix), or (xi) (excluding those specified by Cabinet Order) or other securities specified by Cabinet Order (hereinafter referred to as "regulated securities" in this Article through Article 166), or securities that fall under item (xix) of that paragraph and represent options relating to the regulated securities of the listed company, etc. or other securities specified by Cabinet Order (hereinafter referred to as "related securities" in this paragraph) (including cases specified by Cabinet Office Order in which the trustee of a trust of which the officer or major shareholder is the settlor or beneficiary conducts a purchase, etc. or sale, etc. relating to the regulated securities, etc. of the listed company, etc.; hereinafter the same applies in this Article and the following Article), the officer or major shareholder must submit to the Prime Minister, pursuant to the provisions of Cabinet Office Order, a report on those purchases, sales, or other transactions (hereinafter referred to as "purchase and sale, etc." in this paragraph, the following Article, and Article 165-2) by the 15th day of the month following the month in which the day of the purchase and sale, etc. falls; provided, however, that this does not apply in cases specified by Cabinet Office Order in consideration of the manner of the purchase, etc. or sale, etc. and other circumstances.

②If the officer or major shareholder prescribed in the preceding paragraph conducts a purchase, etc. or sale, etc. of the regulated securities, etc. of the listed company, etc. by entrusting, etc. a financial instruments business operator, etc. or authorized firm for on-exchange transactions to do so, the report prescribed in the preceding paragraph is to be submitted through the financial instruments business operator, etc. or authorized firm for on-exchange transactions. The same applies if the other party to the purchase, etc. or sale, etc. is a financial instruments business operator, etc. or authorized firm for on-exchange transactions.