Monthly Return for Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities

Transcription

1 Monthly Return for Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules on Movements in Securities For the ended : 31/1/2012 To : Hong Kong Exchanges and Clearing Limited Name of Issuer Date Submitted SBI Holdings, Inc. 6-Feb-2012 I. Movements in Authorised Share Capital 1. Shares (1) Stock code : Description : Shares No. of ordinary Par value (State currency) Authorised share capital (State currency) Balance at close of preceding 34,169,000 Increase/(decrease) - Balance at close of the 34,169,000 (2) Stock code : Description : No. of ordinary Par value (State currency) Authorised share capital (State currency) Balance at close of preceding Increase/(decrease) Balance at close of the

2 2. Preference Shares Stock code : Description : No. of preference Par value (State currency) Authorised share capital (State currency) Balance at close of preceding Increase/(decrease) Balance at close of the 3. Other Classes of Shares Stock code : Description : No. of other classes of Par value (State currency) Authorised share capital (State currency) Balance at close of preceding Increase/(decrease) Balance at close of the Total authorised share capital at the end of the (State currency) :

3 II. Movements in Issued Share Capital No. of ordinary (1) (2) No of preference No. of other classes of Balance at close of preceding 22,376,234 Increase/ (decrease) during the Balance at close of the 22,376,234 III. Details of Movements in Issued Share Capital Share Options (under Share Option Schemes of the Issuer) Particulars of share option scheme including EGM approval date and Movement during the class of issuable Granted Exercised Cancelled Lapsed 1.SBI Holdings FY 2002 (1) No. of new of issuer issued during the pursuant thereto No. of new of issuer which may be issued pursuant thereto as at close of the , SBI Holdings FY 2003 (1) , SBI Holdings FY 2003 (2)

4 , SBI Holdings FY 2003 (3) , SBI Holdings FY 2005 (1) ,164 6.SBI Holdings former E*TRADE Japan K.K , SBI Holdings former SBI HOME Planner Co., LTD. FY 2003 Stock option

5 8.SBI Holdings former SBI Partners Co., Inc. FY SBI Holdings former FINANCE ALL CORPORATIO N FY , SBI Holdings former FINANCE ALL CORPORATIO N FY , SBI Holdings former WORLD NICHIEI Securities Co., Ltd.FY2003

6 SBI Holdings former WORLD NICHIEI FRONTIER Securities Co., Ltd.FY , SBI Holdings former WORLD NICHIEI FRONTIER Securities Co., Ltd.FY SBI Holdings former SBI Securities Co., Ltd.FY , SBIH(3)

7 , SBIH(4) , Total A. ( ) Nil (Preference ) (Other class) Total funds raised during the from exercise of options (State currency)

8 Warrants to Issue Shares of the Issuer which are to be Listed Description of warrants (Date of expiry - dd/mm/yyyy) 1. Currency of nominal value Nominal value at close of preceding Exercised during the Nominal value at close of the No. of new of issuer issued during the pursuant thereto No. of new of issuer which may be issued pursuant thereto as at close of the Class of issuable 2. Class of issuable 3. Class of issuable 4. Class of issuable Total B. ( ) Nil (Preference ) (Other class)

9 Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed) Class and description 1. Currency of amount outstanding Amount at close of preceding Converted during the Amount at close of the No. of new of issuer issued during the pursuant thereto No. of new of issuer which may be issued pursuant thereto as at close of the 2. Class of issuable ) 3. Class of issuable 4. Class of issuable Class of issuable Total C. ( ) Nil (Preference ) (Other class)

10 Full particulars including, if applicable, and class of issuable: 1. Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes) No. of new of issuer issued during the pursuant thereto No. of new of issuer which may be issued pursuant thereto as at close of the Total D. ( ) Nil (Preference ) (Other class)

11 Other Movements in Issued Share Capital Type of Issue No. of new of issuer issued during the pursuant thereto No. of new of issuer which may be issued pursuant thereto as at close of the Class of issuable 1. Rights issue At price : State currency date : Class of issuable 2. Open offer At price : State currency date : Class of issuable 3. Placing At price : State currency date : Class of issuable 4. Bonus issue date :

12 Type of Issue No. of new No. of new of of issuer issuer issued which may be during the issued pursuant pursuant thereto as at thereto close of the Class of issuable 5. Scrip dividend At price : State currency date : Class of repurchased Shares 6. Repurchase of Cancellation date : () Class of redeemed 7. Redemption of Redemption date : Class of issuable 8. Consideration issue At price : State currency date :

13 Class of issuable 9. Capital reorganisation date : Class of issuable 10. Other At price : State currency date : Total E. ( ) Nil (Preference ) (Other class) Total increase / (decrease) in ordinary during the (i.e. Total of A to E): (1) (2) Total increase / (decrease) in preference during the (i.e. Total of A to E): Total increase / (decrease) in other classes of during the (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ( Movements in Issued Share Capital ).)

14 IV. Information about Hong Kong Depositary Receipt (HDR) Stock code : 6488 Description : SBI HLDGS-DRS HDR Ratio : 1 Depositary Receipt to 0.1 Share Approved for Listing Issued HDR No. of HDR (F) No. of represented by HDR No. of HDR (G) Balance at close of preceding 20,000,000 2,000, ,530 49,753 No. of represented by HDR Increase/(decrease) Balance at close of the 20,000,000 2,000, ,530 49,753 Headroom (F)-(G) 19,502,470 Remarks (if any): Submitted by: _Toshiharu Fujita Title: Secretary (Director, Secretary or other duly authorised officer) Notes : 1. State the class of (e.g. ordinary, preference or other). 2. If there is insufficient space, please append the prescribed continuation sheet.