Supplementary Provisions, Article 3
第三条
The provisions of Article 27-23 of the New Financial Instruments and Exchange Act apply to the submission of the statement of large-volume holdings prescribed in paragraph (1) of that Article in the case where a person becomes a large-volume holder prescribed in that paragraph on or after the effective date, and the provisions then in force continue to govern the submission of the statement of large-volume holdings prescribed in that paragraph in the case where a person became a large-volume holder prescribed in Article 27-23, paragraph (1) of the Former Financial Instruments and Exchange Act before the effective date.
The provisions of Article 27-25 of the New Financial Instruments and Exchange Act apply to the submission of the statement of changes prescribed in paragraph (1) of that Article in the case where, on or after the effective date, there has been a change specified by Cabinet Order as a change in an important matter to be stated in the statement of large-volume holdings prescribed in that paragraph, and the provisions then in force continue to govern the submission of the statement of changes prescribed in paragraph (1) of that Article in the case where, before the effective date, there was a change specified by Cabinet Order as a change in an important matter to be stated in the statement of large-volume holdings prescribed in Article 27-25, paragraph (1) of the Former Financial Instruments and Exchange Act and in the case where a ground arose, as prescribed in paragraph (3) of that Article, for newly submitting a statement of changes.
The provisions of Article 27-26, paragraph (1) of the New Financial Instruments and Exchange Act apply to the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in Article 27-26, paragraph (1) of the New Financial Instruments and Exchange Act in the case where the holding ratio of share certificates, etc. prescribed in Article 27-25, paragraph (1) of the New Financial Instruments and Exchange Act first exceeds 5 percent on the reference date prescribed in Article 27-26, paragraph (3) of the New Financial Instruments and Exchange Act that falls on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in Article 27-26, paragraph (1) of the Former Financial Instruments and Exchange Act in the case where the holding ratio of share certificates, etc. prescribed in Article 27-25, paragraph (1) of the Former Financial Instruments and Exchange Act first exceeded 5 percent on the reference date prescribed in Article 27-26, paragraph (3) of the Former Financial Instruments and Exchange Act that fell before the effective date.
新金融商品取引法第二十七条の二十六第一項の規定は、施行日以後の同条第三項に規定する基準日において新金融商品取引法第二十七条の二十五第一項に規定する株券等保有割合が初めて百分の五を超えることとなった場合における新金融商品取引法第二十七条の二十六第一項に規定する特例対象株券等に係る大量保有報告書の提出について適用し、施行日前の旧金融商品取引法第二十七条の二十六第三項に規定する基準日において旧金融商品取引法第二十七条の二十五第一項に規定する株券等保有割合が初めて百分の五を超えることとなった場合における旧金融商品取引法第二十七条の二十六第一項に規定する特例対象株券等に係る大量保有報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。
The provisions of Article 27-26, paragraph (2) of the New Financial Instruments and Exchange Act apply to the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in that paragraph in the case where a person comes to fall under any of the cases set forth in the items of that paragraph on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in that paragraph in the case where a person came to fall under any of the cases set forth in the items of Article 27-26, paragraph (2) of the Former Financial Instruments and Exchange Act before the effective date.
新金融商品取引法第二十七条の二十六第二項の規定は、施行日以後に同項各号に掲げる場合に該当することとなった場合における同項に規定する特例対象株券等に係る変更報告書の提出について適用し、施行日前に旧金融商品取引法第二十七条の二十六第二項各号に掲げる場合に該当することとなった場合における同項に規定する特例対象株券等に係る変更報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。
The provisions of Article 27-26, paragraph (4) of the New Financial Instruments and Exchange Act apply to the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in paragraph (1) of that Article in the case where the day on which the holding ratio came to exceed 5 percent, as prescribed in Article 27-26, paragraph (4) of the New Financial Instruments and Exchange Act, is on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in paragraph (1) of that Article in the case where the day on which the holding ratio came to exceed 5 percent, as prescribed in Article 27-26, paragraph (4) of the Former Financial Instruments and Exchange Act, is before the effective date.
新金融商品取引法第二十七条の二十六第四項の規定は、同項に規定する百分の五を超えることとなった日が施行日以後である場合における同条第一項に規定する特例対象株券等に係る大量保有報告書の提出について適用し、旧金融商品取引法第二十七条の二十六第四項に規定する百分の五を超えることとなった日が施行日前である場合における同条第一項に規定する特例対象株券等に係る大量保有報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。
The provisions of Article 27-26, paragraph (5) of the New Financial Instruments and Exchange Act apply to the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in paragraph (2) of that Article in the case where the day of the increase as prescribed in Article 27-26, paragraph (5) of the New Financial Instruments and Exchange Act is on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in paragraph (2) of that Article in the case where the day of the increase as prescribed in Article 27-26, paragraph (5) of the Former Financial Instruments and Exchange Act is before the effective date.
新金融商品取引法第二十七条の二十六第五項の規定は、同項に規定する当該増加した日が施行日以後である場合における同条第二項に規定する特例対象株券等に係る変更報告書の提出について適用し、旧金融商品取引法第二十七条の二十六第五項に規定する当該増加した日が施行日前である場合における同条第二項に規定する特例対象株券等に係る変更報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。
(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)
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 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 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(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 paragraph (1) of the preceding Article, a statement of changes for share certificates, etc. subject to special rules…
特例対象株券等に係る変更報告書(当該株券等が特例対象株券等以外の株券等になる場合の変更に係るものを除く。)は、前条第一項本文の規定にかかわらず、次の各号に掲げる場合の区分に応じ当該各号に定める日までに、内閣府令で定めるところにより、内閣総理大臣に提出しなければならない。
Open this provision(Special Provisions on Reports by Large-Volume Holders of Share Certificates Subject to Special Provisions)
The reference date referred to in the preceding two paragraphs means the date on which a holder of share certificates, etc. subject to special provisions notifies the Prime Minister pursuant to the…
前二項の基準日とは、政令で定めるところにより毎月二回以上設けられる日の組合せのうちから特例対象株券等の保有者が内閣府令で定めるところにより内閣総理大臣に届出をした日をいう。
Open this provision(Special Provisions on Reports by Large-Volume Holders of Share Certificates Subject to Special Provisions)
Notwithstanding the provisions of paragraph (1), if the financial instruments business operator, bank, or other person specified by Cabinet Office Order provided for in that paragraph makes a…
第一項の規定にかかわらず、同項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、その株券等保有割合が百分の五を超えることとなつた日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の大量保有報告書を内閣総理大臣に提出しなければならない。
Open this provision(Special Provisions on Reports by Large-Volume Holders of Share Certificates Subject to Special Provisions)
Notwithstanding the provisions of paragraph (2), if the ownership ratio of share certificates, etc. of the financial instruments business operator, bank…
第二項の規定にかかわらず、第一項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、同項の大量保有報告書又は第二項の変更報告書を提出した後に株券等保有割合が百分の一以上増加した場合であつて、当該増加した日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより…
Open this provisionstatement 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
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)
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)
share certificates, etc. subject to special provisions
「特例対象株券等」
In Article 27-26, share certificates, etc. held, without the aim of making material proposals (重要提案行為等), by financial instruments business operators engaged in type-I financial instruments business or investment management business, banks or other persons a Cabinet Office Order (内閣府令) specifies (except where the holding ratio exceeds the figure that Order sets and in other cases it sets), or held by the State, local governments or other persons that Order specifies — in each case only by holders that have notified the Prime Minister of their record dates.
Short name set inArticle 27-26, paragraph (1)· applies only in this article
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
This Act as amended by Act No. 44 of 2014.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
the effective datemachine translation
「施行日」
The date Act No. 44 of 2014, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
Former Financial Instruments and Exchange Actmachine translation
「旧金融商品取引法」
This Act as it stood before Act No. 44 of 2014 amended it.
Short name set inSupplementary Provisions, Article 2, paragraph (1)