Article 27-23Submission of Statements of Large-Volume Holdings
第二十七条の二十三(大量保有報告書の提出)
A holder of subject securities (including what is specified by Cabinet Order as indicating a right connected to securities set forth in Article 2, paragraph (1), item (xix) and other securities specified by Cabinet Order that indicate an option on subject securities (limited to an option that causes the person that exercises it to acquire the position of the buyer in a purchase and sale of the subject securities linked to the option) (hereinafter collectively referred to as "share certificates, etc." in this Chapter and Article 27-30-11, paragraph (5))) issued by a corporation (or, with regard to the securities specified by Cabinet Office Order, a person specified by Cabinet Office Order; hereinafter the same applies in this Chapter and Article 27-30-11, paragraph (5), except for Article 27-30, paragraph (2)) that is the issuer of share certificates, corporate bond certificates with share options, and other securities specified by Cabinet Order (hereinafter referred to as the "share-related securities" in this paragraph) that are listed on a financial instruments exchange (including the share-related securities specified by Cabinet Order as having equivalent distribution statuses to those securities), and whose ownership ratio of share certificates, etc. with respect to the relevant share certificates, etc. exceeds five percent (such a holder is hereinafter referred to as a "large-volume holder" in this Chapter) must submit a statement in which it states the particulars of its ownership ratio of share certificates, etc., the particulars of the funds for the acquisition, the purpose of the holdings, and any other particulars specified by Cabinet Office Order (such a statement is hereinafter referred to as a "statement of large-volume holdings") to the Prime Minister, pursuant to the provisions of Cabinet Office Order, within five days from the date on which it becomes a large-volume holder (Sundays and other holidays specified by Cabinet Order are not included for the purpose of counting days; the same applies in Article 27-25, paragraph (1) and Article 27-26); provided, however, that this does not apply if the total number of share certificates, etc. held which are provided for in paragraph (4) does not increase, nor does it apply in any other case specified by Cabinet Office Order.
株券、新株予約権付社債券その他の政令で定める有価証券(以下この項において「株券関連有価証券」という。)で金融商品取引所に上場されているもの(流通状況がこれに準ずるものとして政令で定める株券関連有価証券を含む。)の発行者である法人が発行者(内閣府令で定める有価証券については、内閣府令で定める者。第二十七条の三十第二項を除き、以下この章及び第二十七条の三十の十一第五項において同じ。)である対象有価証券(当該対象有価証券に係るオプション(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対象有価証券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。)を表示する第二条第一項第十九号に掲げる有価証券その他の当該対象有価証券に係る権利を表示するものとして政令で定めるものを含む。以下この章及び第二十七条の三十の十一第五項において「株券等」という。)の保有者で当該株券等に係るその株券等保有割合が百分の五を超えるもの(以下この章において「大量保有者」という。)は、内閣府令で定めるところにより、株券等保有割合に関する事項、取得資金に関する事項、保有の目的その他の内閣府令で定める事項を記載した報告書(以下「大量保有報告書」という。)を大量保有者となつた日から五日(日曜日その他政令で定める休日の日数は、算入しない。第二十七条の二十五第一項及び第二十七条の二十六において同じ。)以内に、内閣総理大臣に提出しなければならない。ただし、第四項に規定する保有株券等の総数に増加がない場合その他の内閣府令で定める場合については、この限りでない。
The term "subject securities" as used in the preceding paragraph means the share certificates, corporate bond certificates with share options, and other securities specified by Cabinet Order.
The holder referred to in paragraph (1) includes the following persons, in addition to persons that own share certificates, etc. in their own names or in the name of another person (or under a fictitious name) (including a person that holds the right to request the delivery of share certificates, etc. under a purchase and sale contract or any other contract, or any other person specified by Cabinet Order as being equivalent); provided, however, that the person set forth in item (i) is deemed to become a holder on the day on which that person comes to know that the person has the authority prescribed in that item, only within the scope of the share certificates, etc. (including the securities set forth in Article 2, paragraph (1), item (xx) indicating the rights to share certificates, etc., and other securities specified by Cabinet Office Order; hereinafter the same applies in this paragraph and the following Article) regarding which the person comes to know the person has that authority, and the person set forth in item (iii) is deemed to become a holder with regard to the number of share certificates, etc. calculated by the calculation method specified by Cabinet Office Order as a method for calculating the number of share certificates, etc. that are the underlying assets of the derivatives transaction prescribed in that item:
第一項の保有者には、自己又は他人(仮設人を含む。)の名義をもつて株券等を所有する者(売買その他の契約に基づき株券等の引渡請求権を有する者その他これに準ずる者として政令で定める者を含む。)のほか、次に掲げる者を含むものとする。ただし、第一号に掲げる者については、同号に規定する権限を有することを知つた日において、当該権限を有することを知つた株券等(株券等に係る権利を表示する第二条第一項第二十号に掲げる有価証券その他の内閣府令で定める有価証券を含む。以下この項及び次条において同じ。)に限り、保有者となるものとみなし、第三号に掲げる者については、同号に規定するデリバティブ取引の原資産である株券等の数を算出する計算方法として内閣府令で定める計算方法により算出された数の株券等について保有者となるものとみなす。
a person that has the authority to exercise voting rights or any other rights as a shareholder in the issuer of the share certificates, etc., or to give instructions as to the exercise of those voting rights or any other rights, based on a money trust contract or any other contract or the provisions of the law (except for a person that falls under the following item), and that has the aim of controlling the business activities of that Issuer; or
a person that has the necessary authority to invest in share certificates, etc., based on a discretionary investment contract or any other contract or the provisions of the law; or
a person that has a right relating to a derivatives transaction relating to share certificates, etc. (excluding a person that falls under the preceding two items) and that has the purpose of acquiring those share certificates, etc. from the person that is the other party to the derivatives transaction or any other purpose specified by Cabinet Order.
The term "holding ratio of share certificates, etc." as used in paragraph (1) means the ratio arrived at when the number of share certificates, etc. issued by the issuer of the relevant share certificates, etc., which the holder (meaning a holder as set forth in paragraph (1); hereinafter the same applies in this Chapter) is obligated to transfer (excluding those that the holder is obligated to transfer to a joint holder) due to having transferred them through a margin transaction provided for in Article 161-2, paragraph (1) or any other transaction method specified by Cabinet Office Order, is deducted from the total number of share certificates, etc. (excluding treasury shares (meaning treasury shares as defined in Article 113, paragraph (4) of the Companies Act) and the share certificates, etc. that are specified by Cabinet Office Order in consideration of the manner in which they are held or any other circumstance; hereinafter the same applies in this paragraph) held by the holder of the relevant share certificates, etc. (meaning the number of shares calculated pursuant to the provisions of Cabinet Office Order, if they are share certificates, or the number specified by Cabinet Office Order, if they are other securities; hereinafter the same applies in this Chapter) (this includes if the holder has the authority set forth in item (i) or (ii) of the preceding paragraph or the right set forth in item (iii) of that paragraph with regard to those share certificates, etc.; hereinafter the same applies in this Chapter) (the number of share certificates, etc. after this deduction is hereinafter referred to as the "number of share certificates, etc. held" in this paragraph and paragraph (6)); the number of share certificates, etc. held by joint holders of the share certificates, etc. issued by that issuer (excluding the number of share certificates, etc. for which a right to request delivery or any other right specified by Cabinet Order exists between the holder and a joint holder) is added (the number of share certificates, etc. after this addition is hereinafter referred to as the "total number of share certificates, etc. held" in Article 27-25, paragraph (1)); and this is divided by the sum of either the total number of the issuer's issued shares or the number specified by Cabinet Office Order as being equivalent to this, and the number of share certificates, etc. that are held by the holder and the joint holders (excluding share certificates and other securities that are specified by Cabinet Office Order).
第一項の「株券等保有割合」とは、株券等の保有者(同項に規定する保有者をいう。以下この章において同じ。)の保有(前項第一号若しくは第二号に規定する権限又は同項第三号に規定する権利を有する場合を含む。以下この章において同じ。)に係る当該株券等(自己株式(会社法第百十三条第四項に規定する自己株式をいう。)その他当該株券等の保有の態様その他の事情を勘案して内閣府令で定めるものを除く。以下この項において同じ。)の数(株券については内閣府令で定めるところにより計算した株式の数を、その他のものについては内閣府令で定める数をいう。以下この章において同じ。)の合計から当該株券等の発行者が発行する株券等のうち、第百六十一条の二第一項に規定する信用取引その他内閣府令で定める取引の方法により譲渡したことにより、引渡義務(共同保有者に対して負うものを除く。)を有するものの数を控除した数(以下この項及び第六項において「保有株券等の数」という。)に当該発行者が発行する株券等に係る共同保有者の保有株券等の数(保有者及び共同保有者の間で引渡請求権その他の政令で定める権利が存在する株券等の数を除く。)を加算した数(第二十七条の二十五第一項において「保有株券等の総数」という。)を、当該発行者の発行済株式の総数又はこれに準ずるものとして内閣府令で定める数に当該保有者及び共同保有者の保有する当該株券等(株券その他の内閣府令で定める有価証券を除く。)の数を加算した数で除して得た割合をいう。
The term "joint holder" as used in the preceding paragraph means the other holder of the relevant share certificates, etc., in a case in which the holder of share certificates, etc. has agreed to jointly acquire or transfer that share certificates, etc., or to jointly exercise voting rights and other rights as the issuer's shareholder, together with another holder of share certificates, etc. issued by the issuer of the relevant share certificates, etc. (excluding a case that falls under all of the following requirements):
that the holder and the other holder are a financial instruments business operator (limited to a person that engages in the type-I financial instruments business prescribed in Article 28, paragraph (1) or a person that engages in the investment management business prescribed in paragraph (4) of that Article), a bank, or any other person specified by Cabinet Office Order;
that the purpose of the agreement is not to jointly make a material proposal prescribed in Article 27-26, paragraph (1); and
共同して第二十七条の二十六第一項に規定する重要提案行為等を行うことを合意の目的としないこと。
that it is an agreement to jointly exercise voting rights and other rights as a shareholder of the issuer (limited to an agreement specified by Cabinet Order as one made for each individual exercise of a right).
共同して当該発行者の株主としての議決権その他の権利を行使することの合意(個別の権利の行使ごとの合意として政令で定めるものに限る。)であること。
If a first holder of share certificates, etc. and another holder of share certificates, etc. that are issued by the issuer of the relevant share certificates, etc. are related to each other through a shareholding relationship or other special relationship specified by Cabinet Order, the other holder is deemed to be a joint holder referred to in paragraph (4) in relation to that holder; provided, however, that this does not apply if the number of share certificates, etc. held by either the first holder or the other holder is the number specified by Cabinet Office Order or less.
Article 27-24Preparation and Delivery of a Written Notice of Shareholding Status
第二十七条の二十四(株券保有状況通知書の作成及び交付)
A person set forth in paragraph (3), item (ii) of the preceding Article, pursuant to the provisions of Cabinet Office Order, must prepare a written notice that accounts for the status of holdings in the relevant share certificates, etc. and deliver it to customers that have the authority to exercise their voting rights or any other rights as shareholders in the issuer of those share certificates, etc. or to give instructions as to the exercise of their voting rights or any other rights, at least once a month.
Article 27-25Submission of a Statement of Changes to a Statement of Large-Volume Holdings
第二十七条の二十五(大量保有報告書に係る変更報告書の提出)
If, after the day on which a person that is required to submit a statement of large-volume holdings has become a large-volume holder, the ownership ratio of share certificates, etc. (meaning the ownership ratio of share certificates, etc. set forth in Article 27-23, paragraph (4); hereinafter the same applies in this Chapter) has increased or decreased by one percent or more (unless this is not linked to an increase or decrease in the total number of share certificates, etc. held by that person; hereinafter the same applies in this Chapter), or if there has been any other change that is specified by Cabinet Order as a change in a material particular that is required to be stated in the statement of large-volume holdings, such person must submit a report on the particulars of the change (hereinafter referred to as a "statement of changes") to the Prime Minister, within five days after the day of the change, pursuant to the provisions of Cabinet Office Order; provided, however, that this does not apply to cases where a change report reporting that the holding ratio of share certificates, etc. are five percent or less has already been submitted or to other cases specified by Cabinet Office Order.
大量保有報告書を提出すべき者は、大量保有者となつた日の後に、株券等保有割合(第二十七条の二十三第四項に規定する株券等保有割合をいう。以下この章において同じ。)が百分の一以上増加し又は減少した場合(保有株券等の総数の増加又は減少を伴わない場合を除く。以下この章において同じ。)その他の大量保有報告書に記載すべき重要な事項の変更として政令で定めるものがあつた場合は、内閣府令で定めるところにより、その日から五日以内に、当該変更に係る事項に関する報告書(以下「変更報告書」という。)を内閣総理大臣に提出しなければならない。ただし、株券等保有割合が百分の五以下であることが記載された変更報告書を既に提出している場合その他の内閣府令で定める場合については、この限りでない。
In a case that falls under the criteria specified by Cabinet Order as a case in which a large number of share certificates, etc. have been transferred within a short period, a person that submits a statement of changes due to a decrease in the ownership ratio of share certificates, etc. must also state in that statement of changes the particulars of the party to which the share certificates, etc. have been transferred and the consideration received (with regard to a person specified by Cabinet Order as a person to whom an insignificant number of share certificates, etc. have been transferred, limited to the particulars of the consideration received), pursuant to the provisions of Cabinet Office Order.
If a person that has submitted a statement of large-volume holdings or a statement of changes finds that its content conflicts with the facts of the matter, that such a document insufficiently states or omits a statement as to a material particular that is required to be stated, or that such a document insufficiently states or omits a statement as to a material fact that is necessary to prevent it from being misleading, that person must submit an amended report to the Prime Minister.
(Depositing Money for Margin Transactions)
In a margin transaction or other transaction specified by Cabinet Office Order, a financial instruments business operator, pursuant to the provisions of Cabinet Office Order…
信用取引その他の内閣府令で定める取引については、金融商品取引業者は、内閣府令で定めるところにより、顧客から、当該取引に係る有価証券の時価に内閣総理大臣が有価証券の売買その他の取引の公正を確保することを考慮して定める率を乗じた額を下らない額の金銭の預託を受けなければならない。
Open this provision(Definitions)
instruments or certificates that indicate the right to a transaction specified in paragraph (21), item (iii) which is conducted on a financial instruments market…
金融商品市場において金融商品市場を開設する者の定める基準及び方法に従い行う第二十一項第三号に掲げる取引に係る権利、外国金融商品市場(第八項第三号ロに規定する外国金融商品市場をいう。以下この号において同じ。)において行う取引であつて第二十一項第三号に掲げる取引と類似の取引(金融商品(第二十四項第三号の三に掲げるものに限…
Open this provision(Definitions)
instruments or certificates which the person with whom instruments or certificates set forth in the preceding items has been deposited issues in a state other than the state in which the deposited…
前各号に掲げる証券又は証書の預託を受けた者が当該証券又は証書の発行された国以外の国において発行する証券又は証書で、当該預託を受けた証券又は証書に係る権利を表示するもの
Open this provision(Submission of Statements of Large-Volume Holdings)
A holder of subject securities (including what is specified by Cabinet Order as indicating a right connected to securities set forth in Article 2, paragraph (1), item (xix) and other securities…
株券、新株予約権付社債券その他の政令で定める有価証券(以下この項において「株券関連有価証券」という。)で金融商品取引所に上場されているもの(流通状況がこれに準ずるものとして政令で定める株券関連有価証券を含む。)の発行者である法人が発行者(内閣府令で定める有価証券については、内閣府令で定める者。第二十七条の三十第二項を…
Open this provision(Submission of Statements of Large-Volume Holdings)
The holder referred to in paragraph (1) includes the following persons, in addition to persons that own share certificates, etc. in their own names or in the name of another person…
第一項の保有者には、自己又は他人(仮設人を含む。)の名義をもつて株券等を所有する者(売買その他の契約に基づき株券等の引渡請求権を有する者その他これに準ずる者として政令で定める者を含む。)のほか、次に掲げる者を含むものとする。
Open this provision(Submission of Statements of Large-Volume Holdings)
a person that has the authority to exercise voting rights or any other rights as a shareholder in the issuer of the share certificates, etc., or to give instructions as to the exercise of those…
金銭の信託契約その他の契約又は法律の規定に基づき、株券等の発行者の株主としての議決権その他の権利を行使することができる権限又は当該議決権その他の権利の行使について指図を行うことができる権限を有する者(次号に該当する者を除く。)であつて、当該発行者の事業活動を支配する目的を有する者
Open this provision(Submission of Statements of Large-Volume Holdings)
a person that has the necessary authority to invest in share certificates, etc., based on a discretionary investment contract or any other contract or the provisions of the law; or
投資一任契約その他の契約又は法律の規定に基づき、株券等に投資をするのに必要な権限を有する者
Open this provision(Submission of Statements of Large-Volume Holdings)
a person that has a right relating to a derivatives transaction relating to share certificates, etc. (excluding a person that falls under the preceding two items) and that has the purpose of…
株券等に係るデリバティブ取引に係る権利を有する者(前二号に該当する者を除く。)であつて、当該デリバティブ取引の相手方から当該株券等を取得する目的その他の政令で定める目的を有する者
Open this provision(Submission of Statements of Large-Volume Holdings)
The term "holding ratio of share certificates, etc." as used in paragraph (1) means the ratio arrived at when the number of share certificates, etc. issued by the issuer of the relevant share…
第一項の「株券等保有割合」とは、株券等の保有者(同項に規定する保有者をいう。以下この章において同じ。)の保有(前項第一号若しくは第二号に規定する権限又は同項第三号に規定する権利を有する場合を含む。以下この章において同じ。)に係る当該株券等(自己株式(会社法第百十三条第四項に規定する自己株式をいう。)その他当該株券等の…
Open this provision(Submission of Statements of Large-Volume Holdings)
If a first holder of share certificates, etc. and another holder of share certificates, etc. that are issued by the issuer of the relevant share certificates…
株券等の保有者と当該株券等の発行者が発行する株券等の他の保有者が、株式の所有関係その他の政令で定める特別の関係にある場合においては、当該他の保有者を当該保有者に係る第四項の共同保有者とみなす。ただし、当該保有者又は他の保有者のいずれかの保有株券等の数が内閣府令で定める数以下である場合においては、この限りでない。
Open this provision(Preparation and Delivery of a Written Notice of Shareholding Status)
A person set forth in paragraph (3), item (ii) of the preceding Article, pursuant to the provisions of Cabinet Office Order, must prepare a written notice that accounts for the status of holdings in…
前条第三項第二号に掲げる者は、当該株券等の発行者の株主としての議決権その他の権利を行使することができる権限又は当該議決権その他の権利の行使について指図を行うことができる権限を有する顧客に対して、内閣府令で定めるところにより、毎月一回以上、当該株券等の保有状況について説明した通知書を作成し、交付しなければならない。
Open this provision(Submission of a Statement of Changes to a Statement of Large-Volume Holdings)
If, after the day on which a person that is required to submit a statement of large-volume holdings has become a large-volume holder, the ownership ratio of share certificates…
大量保有報告書を提出すべき者は、大量保有者となつた日の後に、株券等保有割合(第二十七条の二十三第四項に規定する株券等保有割合をいう。以下この章において同じ。)が百分の一以上増加し又は減少した場合(保有株券等の総数の増加又は減少を伴わない場合を除く。以下この章において同じ。)その他の大量保有報告書に記載すべき重要な事項…
Open this provision(Special Provisions on Reports by Large-Volume Holders of Share Certificates Subject to Special Provisions)
Notwithstanding the provisions of the main clause of Article 27-23, paragraph (1), a statement of large-volume holdings in share certificates, etc. that a financial instruments business operator…
金融商品取引業者(第二十八条第一項に規定する第一種金融商品取引業を行う者又は同条第四項に規定する投資運用業を行う者に限る。以下この条において同じ。)、銀行その他の内閣府令で定める者(第三項に規定する基準日を内閣総理大臣に届け出た者に限る。)が保有する株券等で当該株券等の発行者の事業活動に重大な変更を加え…
Open this provision(Special Provisions on Reports by Large-Volume Holders of Share Certificates Subject to Special Provisions)
Notwithstanding the provisions of the main clause of Article 27-23, paragraph (1), a statement of large-volume holdings in share certificates, etc. that a financial instruments business operator…
金融商品取引業者(第二十八条第一項に規定する第一種金融商品取引業を行う者又は同条第四項に規定する投資運用業を行う者に限る。以下この条において同じ。)、銀行その他の内閣府令で定める者(第三項に規定する基準日を内閣総理大臣に届け出た者に限る。)が保有する株券等で当該株券等の発行者の事業活動に重大な変更を加え…
Open this provision(Providing Persons with the Particulars Stated in a Parent Company, etc. Status Report by Means of Using an Electronic Data Processing System or by Other Means)
In the cases specified by Cabinet Office Order, in lieu of sending the copies of the documents that the holder of share certificates, etc. is required to send to the issuer of those share…
株券等の保有者は、内閣府令で定める場合には、第二十七条の二十七(第二十七条の二十九第二項において準用する場合を含む。)の規定により当該株券等の発行者に送付するものとされている書類の写しに代えて…
Open this provision(Collection of Reports and Inspection of a Person Submitting a Statement of Large-Volume Holdings)
When the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order the issuer of share certificates…
内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、大量保有報告書に係る株券等の発行者又は参考人に対し、参考となるべき報告又は資料の提出を命ずることができる。
Open this provisionThe term "type-I financial instruments business" as used in this Chapter means the performance of any of the following acts on a regular basis, as part of financial instruments business:
この章において「第一種金融商品取引業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
Open this provisionThe term "investment management business" as used in this Chapter means the performance of any of the following acts on a regular basis, within the financial instruments business…
この章において「投資運用業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいい、銀行、協同組織金融機関その他政令で定める金融機関が、当該行為のいずれかを業として行うことを含むものとする。
Open this provision(Total Number of Authorized Shares)
The number of the shares which a holder of share options (excluding share options for which the first day of the period prescribed in Article 236, paragraph (1), item (iv) has not yet arrived)…
新株予約権(第二百三十六条第一項第四号の期間の初日が到来していないものを除く。)の新株予約権者が第二百八十二条第一項の規定により取得することとなる株式の数は、発行可能株式総数から発行済株式(自己株式(株式会社が有する自己の株式をいう。以下同じ。)を除く。)の総数を控除して得た数を超えてはならない。
Open this provisionsecurities
「有価証券」
Securities as this Act defines them: the instruments listed in Article 2, paragraph (1), among them national government and local government bonds, corporate bonds, share certificates and share option certificates, preferred equity investment certificates, beneficiary certificates of investment trusts and other trusts, investment securities, certain promissory notes, mortgage securities, option certificates and depositary receipts, foreign instruments of the same nature, and other instruments a Cabinet Order (政令) specifies.
Defined inArticle 2, paragraph (1)· applies throughout the law
options
「オプション」
A right under a transaction listed in Article 2, paragraph (21), item (iii) made on a financial instruments market (金融商品市場) under the standards and methods of its operator, a right under a similar transaction on a foreign financial instruments market (外国金融商品市場) (other than one involving commodities or indices based on their prices), or a right under a transaction listed in Article 2, paragraph (22), item (iii) or (iv) made off those markets.
Short name set inArticle 2, paragraph (1), item (xix)
issuer
「発行者」
A person who issues or intends to issue securities, or for securities a Cabinet Office Order (内閣府令) specifies, the person it specifies; for rights treated as securities under Article 2, paragraph (2), the person a Cabinet Office Order specifies for each kind of right is treated as issuing them, at the time it specifies.
Defined inArticle 2, paragraph (5)
discretionary investment contract
「投資一任契約」
A contract under which one party is entrusted by the other with all or part of its investment decisions (投資判断) based on an analysis of the value, etc. of financial instruments, and is given the authority needed to invest for the other on those decisions — other than an asset management entrustment contract with a registered investment corporation (登録投資法人) under Article 2, paragraph (8), item (xii), (a).
Short name set inArticle 2, paragraph (8), item (xii), (b)
financial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
financial instruments exchange
「金融商品取引所」
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
Defined inArticle 2, paragraph (16)· applies throughout the law
derivatives transactions
「デリバティブ取引」
A market derivatives transaction (市場デリバティブ取引), an over-the-counter derivatives transaction (店頭デリバティブ取引) or a foreign market derivatives transaction (外国市場デリバティブ取引).
Defined inArticle 2, paragraph (20)· applies throughout the law
statement of large-volume holdings
「大量保有報告書」
The report a large-volume holder (大量保有者) of share certificates, etc. (株券等) must submit to the Prime Minister on its holding ratio, the source of its acquisition funds, its purpose in holding them and other particulars a Cabinet Office Order (内閣府令) specifies.
Short name set inArticle 27-23, paragraph (1)
large-volume holder
「大量保有者」
A holder of share certificates, etc. (株券等) — share certificates, bonds with share options and other securities a Cabinet Order (政令) specifies, and options and other rights over them — of an issuer whose such securities are listed on a financial instruments exchange or similarly traded, whose holding ratio of those share certificates, etc. (株券等保有割合) exceeds 5 percent.
Short name set inArticle 27-23, paragraph (1)· applies only in this chapter
share certificates, etc.
「株券等」
In Chapter II-3 and Article 27-30-11, paragraph (5), subject securities (対象有価証券) — share certificates, corporate bond certificates with share options and other securities a Cabinet Order (政令) specifies — issued by a corporation whose share certificates or other share-related securities are listed on a financial instruments exchange or circulate similarly, including securities under Article 2, paragraph (1), item (xix) and others a Cabinet Order specifies that represent options to buy them.
Short name set inArticle 27-23, paragraph (1)· applies only in this chapter and in Article 27-30-11, paragraph (5)
share-related securities
「株券関連有価証券」
In Article 27-23, paragraph (1), share certificates, corporate bond certificates with share options and other securities a Cabinet Order (政令) specifies.
Short name set inArticle 27-23, paragraph (1)· applies only in this paragraph
subject securities
「対象有価証券」
Share certificates, bonds with share options and other securities a Cabinet Order (政令) specifies, as used in the rules on reporting large-volume holdings.
Defined inArticle 27-23, paragraph (2)
number of share certificates, etc. heldmachine translation
「保有株券等の数」
In Article 27-23, paragraphs (4) and (6), the number of share certificates, etc. (株券等) a holder holds (leaving out treasury shares and others a Cabinet Office Order (内閣府令) excludes), less those of the same issuer that the holder must deliver because it transferred them through a margin transaction (信用取引) or another method that Order specifies.
Short name set inArticle 27-23, paragraph (4)· applies only in this paragraph and in Article 27-23, paragraph (6)
total number of share certificates, etc. heldmachine translation
「保有株券等の総数」
In Article 27-25, paragraph (1), the number of share certificates, etc. held (保有株券等の数) by a holder plus those held by its joint holders (共同保有者), leaving out share certificates, etc. over which the holder and joint holders have rights, such as a right to claim delivery, that a Cabinet Order (政令) specifies.
Short name set inArticle 27-23, paragraph (4)· applies only in this provision and in Article 27-25, paragraph (1)
holdermachine translation
「保有者」
In Chapter 2-3, a holder of share certificates, etc. (株券等) as Article 27-23, paragraph (1) uses the word, which its paragraph (3) extends to anyone owning them in their own or another's name (or having a right to their delivery), and to persons with authority to exercise or direct voting and other shareholder rights in order to control the issuer, with authority to invest in them, or with derivatives rights over them held for purposes a Cabinet Order (政令) specifies.
Defined inArticle 27-23, paragraph (4)· applies only in this chapter
holding ratio of share certificates, etc.machine translation
「株券等保有割合」
In Chapter II-3, the ratio of the share certificates, etc. (株券等) a holder holds — less those it must deliver after selling them through margin transactions or similar transactions, and with those of its joint holders (共同保有者) added — to the issuer's total issued shares plus the share certificates, etc. other than shares that the holder and its joint holders hold, each counted as Cabinet Office Orders (内閣府令) set.
Defined inArticle 27-23, paragraph (4)
joint holdermachine translation
「共同保有者」
Another holder of share certificates, etc. (株券等) of the same issuer with whom a holder has agreed to acquire or transfer them jointly, or to exercise voting or other shareholder rights jointly, unless all the conditions in Article 27-23, paragraph (5) are met: both are financial instruments business operators, banks or others a Cabinet Office Order (内閣府令) specifies; the agreement is not aimed at jointly making material proposals, etc. (重要提案行為等); and it is an agreement on the exercise of an individual right of a kind a Cabinet Order (政令) specifies.
Defined inArticle 27-23, paragraph (5)
statement of changes
「変更報告書」
The report on the changed particulars that a person required to submit a statement of large-volume holdings (大量保有報告書) must submit to the Prime Minister when, after becoming a large-volume holder (大量保有者), its holding ratio of share certificates, etc. (株券等保有割合) rises or falls by one percentage point or more — other than where the total number of share certificates, etc. it holds is unchanged — or another material change a Cabinet Order (政令) specifies occurs.
Short name set inArticle 27-25, paragraph (1)
holding ratio of share certificates, etc.machine translation
「株券等保有割合」
In Chapter II-3, the ratio of the share certificates, etc. (株券等) a holder holds — less those it must deliver after selling them through margin transactions or similar transactions, and with those of its joint holders (共同保有者) added — to the issuer's total issued shares plus the share certificates, etc. other than shares that the holder and its joint holders hold, each counted as Cabinet Office Orders (内閣府令) set.
Defined inArticle 27-25, paragraph (1)· applies only in this chapter
material proposal
「重要提案行為等」
In Article 27-26, acts specified by Cabinet Order (政令) as making material changes to, or having a material effect on, the business activities of the issuer of share certificates, etc. (株券等); certain holders that do not hold the shares for the purpose of such acts may file large-volume holding reports under the special rules of that Article.
Short name set inArticle 27-26, paragraph (1)· applies only in this provision and in Article 27-26, paragraphs (4) and (5)
type-I financial instruments business
「第一種金融商品取引業」
The part of financial instruments business (金融商品取引業) that consists of carrying on, as a business, any of the acts listed in Article 28, paragraph (1), such as dealing in securities (other than most rights treated as securities) and brokerage for them, over-the-counter derivatives transactions, the underwriting of securities, and trading securities through an electronic system as Article 2, paragraph (8), item (x) describes.
Defined inArticle 28, paragraph (1)· applies only in this chapter
investment management business
「投資運用業」
Investment management business as defined in Article 28, paragraph (4): the part of financial instruments business (金融商品取引業) that consists in carrying on as a business the acts in Article 2, paragraph (8), items (xii), (xiv) and (xv) — managing money or other property, on investment decisions (投資判断) based on an analysis of the value, etc. of financial instruments, as an investment in securities or in rights under derivatives transactions, whether under a discretionary investment contract (投資一任契約) or an asset management contract with a registered investment corporation (登録投資法人), or for the holders of the rights items (xiv) and (xv) list who contributed it — including where a bank, a cooperative financial institution or another financial institution a Cabinet Order (政令) specifies carries them on.
Defined inArticle 28, paragraph (4)· applies only in this chapter
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.