SBI HOLDINGS, INC. 
By For Main Board listed issuers
Monthly Return for Hong Kong Depositary Receipts listed under Chapter 19B of the
Exchange Listing Rules on Movements in Securities
For the month ended (dd/mm/yyyy) : 28/2/2014
To : Hong Kong Exchanges and Clearing Limited
Name of Issuer SBI Holdings, Inc. Date Submitted 06-March-2014
I. Movements in Authorised Share Capital
1. Ordinary Shares
(1) Stock code : N/A Description : Ordinary Shares
No. of ordinary shares
Par value (State currency)
Authorised share capital
(State currency)
Balance at close of preceding month 341,690,000 N/A N/AIncrease/(decrease) - N/A
Balance at close of the month 341,690,000 N/A N/A
(2) Stock code : N/A Description : N/A
No. of ordinary shares
Par value (State currency)
Authorised share capital
(State currency)
Balance at close of preceding month N/A N/A N/A Increase/(decrease) N/A N/A Balance at close of the month N/A N/A N/A
2. Preference Shares
For Main Board listed issuers
Stock code : N/A Description : N/A
No. of preference shares
Par value (State currency)
Authorised share capital
(State currency)
Balance at close of preceding month N/A N/A N/A Increase/(decrease) N/A N/A Balance at close of the month N/A N/A N/A
3. Other Classes of Shares
Stock code : N/A Description : N/A
No. of other classes of shares
Par value (State currency)
Authorised share capital
(State currency)
Balance at close of preceding month N/A N/A N/A Increase/(decrease) N/A N/A Balance at close of the month N/A N/A N/ATotal authorised share capital at the end of the month (State
currency) : N/A
II. Movements in Issued Share Capital
No. of ordinary shares No of preference
For Main Board listed issuers
No. of other classes
(1) (2)
shares
of shares
Balance at close of
preceding month 224,561,761 N/A N/A N/A
Increase/ (decrease)
during the month N/A N/A N/A N/A
Balance at close of the
month 224,561,761 N/A N/A N/A
III. Details of Movements in Issued Share Capital
Share Options (under Share Option Schemes of the Issuer) Particulars of share
option scheme
including EGM
No. of new shares of issuer issued during the month
No. of new shares of issuer which may be issued pursuant thereto
approval date (dd/mm/yyyy) and class of shares issuable
Movement during the month
Granted Exercised Cancelled Lapsed
pursuant thereto
as at close of the month
1.SBI Holdings former
WORLD NICHIEI FRONTIER Securities Co.,
Ltd.FY2004
Stock option
( / / )
Ordinary
shares - - - 805.00 - 179,204.50
(Note 1)
2.SBI Holdings former
WORLD NICHIEI FRONTIER Securities Co., Ltd.FY2004
Stock option
( / / )
Ordinary
For Main Board listed issuers
(Note 1)
shares - - - - - 345.00
3.SBI Holdings former SBI Securities Co., Ltd.FY2005
Stock option
( / / )
Ordinary
shares - - - 1,242.00 - 174,409.00
(Note 1)
Total funds raised during the month from exercise of
Total A. (Ordinary shares) Nil
(Preference shares) N/A
(Other class) N/A
options (State currency) N/A
Warrants to Issue Shares of the Issuer which are to be Listed
For Main Board listed issuers
No. of new No. of new shares of shares of issuer issued issuer which during the may be issued month pursuant pursuant thereto as at Currency of Nominal value at Exercised Nominal value thereto close of the Description of warrants nominal close of during the at close of the month (Date of expiry - dd/mm/yyyy) value preceding month month month | |
1. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | |
1. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | |
1. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | |
1. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | |
1. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 2. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. ( / / ) Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total B. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A |
For Main Board listed issuers
Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)
No. of new No. of new shares of shares of issuer issued issuer which during the may be issued month pursuant pursuant thereto as at Currency of Amount at close Converted Amount at thereto close of the amount of preceding during the close of the month Class and description outstanding month month month | |
1. Euro Yen Convertible Bonds Due 2017 JPY 30,000,000,000 - 30,000,000,000 - Stock code (if listed) N/A Class of shares issuable (Note 1) Ordinary Shares Subscription price JPY 1,534 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | 19,556,714 |
1. Euro Yen Convertible Bonds Due 2017 JPY 30,000,000,000 - 30,000,000,000 - Stock code (if listed) N/A Class of shares issuable (Note 1) Ordinary Shares Subscription price JPY 1,534 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | |
1. Euro Yen Convertible Bonds Due 2017 JPY 30,000,000,000 - 30,000,000,000 - Stock code (if listed) N/A Class of shares issuable (Note 1) Ordinary Shares Subscription price JPY 1,534 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | |
1. Euro Yen Convertible Bonds Due 2017 JPY 30,000,000,000 - 30,000,000,000 - Stock code (if listed) N/A Class of shares issuable (Note 1) Ordinary Shares Subscription price JPY 1,534 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A | |
1. Euro Yen Convertible Bonds Due 2017 JPY 30,000,000,000 - 30,000,000,000 - Stock code (if listed) N/A Class of shares issuable (Note 1) Ordinary Shares Subscription price JPY 1,534 EGM approval date (if applicable) (dd/mm/yyyy)) N/A 2. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 3. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) 4. Stock code (if listed) Class of shares issuable (Note 1) Subscription price EGM approval date (if applicable) (dd/mm/yyyy) ( / / ) Total C. (Ordinary shares) Nil (Preference shares) N/A (Other class) N/A |
For Main Board listed issuers
Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)
Full particulars including EGM approval date (dd/mm/yyyy), if applicable, and class of shares issuable: | No. of new shares of No. of new shares of issuer issued during issuer which may be the month pursuant issued pursuant thereto thereto as at close of the month | |||
1. 2. 3. | ||||
1. 2. 3. | ||||
1. 2. 3. | ||||
1. 2. 3. | ( / / ) | |||
1. 2. 3. | shares (Note 1) | |||
1. 2. 3. | ||||
1. 2. 3. | ||||
1. 2. 3. | ||||
1. 2. 3. | ( / / ) | |||
1. 2. 3. | shares (Note 1) | |||
1. 2. 3. | ||||
1. 2. 3. | ||||
1. 2. 3. | ||||
1. 2. 3. | ( / / ) | |||
1. 2. 3. | shares (Note 1) | |||
1. 2. 3. | Nil | |||
1. 2. 3. | Total D. (Ordinary shares) | Nil | ||
1. 2. 3. | (Preference shares) | N/A | ||
1. 2. 3. | (Other class) | N/A | ||
1. 2. 3. | (Other class) |
For Main Board listed issuers
Other Movements in Issued Share Capital
No. of new No. of new shares of shares of issuer issuer issued which may be during the issued pursuant month thereto as at pursuant close of the thereto month Type of Issue | |
Class of shares issuable (Note 1) 1. Rights issue At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | N/A |
Class of shares issuable (Note 1) 1. Rights issue At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | |
Class of shares issuable (Note 1) 2. Open offer At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | N/A |
Class of shares issuable (Note 1) 2. Open offer At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | |
Class of shares issuable (Note 1) Issue and allotment ( / / ) 3. Placing At price : State date : (dd/mm/yyyy) currency ( / / ) EGM approval date: (dd/mm/yyyy) N/A | N/A |
Class of shares issuable (Note 1) Issue and allotment ( / / ) 3. Placing At price : State date : (dd/mm/yyyy) currency ( / / ) EGM approval date: (dd/mm/yyyy) N/A | |
Class of shares issuable (Note 1) 4. Bonus issue Issue and allotment ( / / ) date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | N/A |
Class of shares issuable (Note 1) 4. Bonus issue Issue and allotment ( / / ) date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A |
For Main Board listed issuers
No. of new No. of new shares of shares of issuer issuer issued which may be during the issued pursuant month thereto as at pursuant close of the thereto month Type of Issue | ||
Class of shares issuable (Note 1) 5. Scrip dividend At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | N/A | |
Class of shares issuable (Note 1) 5. Scrip dividend At price : State Issue and allotment ( / / ) currency date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | ||
Class of shares Ordinary repurchased (Note 1) Shares 6. Repurchase of shares Cancellation date : ( N/A ) (dd/mm/yyyy) AGM approval date : (dd/mm/yyyy) (28/06/2012) N/A | (77,363) | |
Class of shares Ordinary repurchased (Note 1) Shares 6. Repurchase of shares Cancellation date : ( N/A ) (dd/mm/yyyy) AGM approval date : (dd/mm/yyyy) (28/06/2012) N/A | ||
Class of shares redeemed (Note 1) 7. Redemption of shares Redemption date : ( / / ) (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | N/A | |
Class of shares redeemed (Note 1) 7. Redemption of shares Redemption date : ( / / ) (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) N/A | ||
8. Consideration issue At price : State currency | Class of shares issuable (Note 1) Issue and allotment ( / / ) date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) | N/A N/A |
Class of shares issuable (Note 1) Issue and allotment ( / / ) date : (dd/mm/yyyy) EGM approval date: ( / / ) (dd/mm/yyyy) |
For Main Board listed issuers
Class of shares
issuable (Note 1)
9. Capital reorganisation
10. Other
(According to the partially
amended Articles of
Incorporation approved at
the Ordinary General
Meeting of Shareholders
on June 28 2012, the
Company, on request from
Shareholders, issued
At price : State
JPY(Closing market price of the
immediately
Issue and allotment date : (dd/mm/yyyy)
EGM approval date: (dd/mm/yyyy)
Class of shares issuable (Note 1)
Issue and allotment date : (dd/mm/yyyy)
( / / ) ( / / )
Ordinary Shares(05/02/2014) (12/02/2014) (13/02/2014) (17/02/2014) (19/02/2014) (21/02/2014) (25/02/2014)
N/A N/A
shares of less than 1 unit.)
currency
preceding
business day
of each
respective
issue date)
AGM approval date : (dd/mm/yyyy)
(26/02/2014)
(28/06/2012) N/A(440)
Total E. (Ordinary shares) Nil
(Preference shares) N/A
(Other class) N/A
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (2) Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | N/A |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (2) Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | N/A |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (2) Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | N/A |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (2) Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | N/A |
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E): (1) (2) Total increase / (decrease) in preference shares during the month (i.e. Total of A to E): Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to E): (These figures should be the same as the relevant figures under II above ("Movements in Issued Sh | are Capital").) |
For Main Board listed issuers
IV. Information about Hong Kong Depositary Receipt (HDR)
Stock code : 6488 Description : SBI HLDGS-DRS
HDR Ratio : 1 Depositary Receipt to 0.1 Ordinary Share
Approved for Listing Issued HDRBalance at close of
No. of HDR (F)
No. of shares represented
by HDR No. of HDR (G)
No. of shares represented by
HDR
preceding month 200,000,000 20,000,000 1,218,500 121,850 Increase/(decrease) N/A N/A N/A N/ABalance at close of
the month 200,000,000 20,000,000 1,218,500 121,850Headroom (F)-(G) 198,781,500
Remarks (if any):
Note1: The repurchases of shares occurring from 1 October 2012 to 28 February 2014 were related to the adoption of Share Unit System implemented on 1 October 2012, according to the Company's announcement dated 14 September 2012.
Submitted by: _Toshiharu Fujita
Title:
Secretary
(Director, Secretary or other duly authorised officer)
Notes :
1. State the class of shares (e.g. ordinary, preference or other).
2. If there is insufficient space, please append the prescribed continuation sheet.
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distributed by
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