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Information related to Decisions by Investment Corporation |
- Reverse splits or splits of investment units;
- Additional issue or secondary offering of investment units;
- Subscription to investment corporation bonds or borrowing of funds;
- Merger;
- Alteration of a rule or dissolution;
- Application pertaining to delisting of a real estate investment trust security to a
financial instruments exchange in Japan;
- Petition for commencement of bankruptcy proceedings and commencement of
rehabilitation proceedings;
- Change in certified public accountants, etc. who prepare audit certification of
financial statements, etc. or interim financial statements, etc. contained in a
securities report or an interim report;
- Administrative works relating to the investor register will not be entrusted to an
agent approved by the Exchange;
- Conclusion of an entrustment contract pertaining to asset management, or
cancellation of such contract;
- Distribution of Money;
- Request prescribed in Article 166, Paragraph 6, Item 4 of the Act, or Article 167,
Paragraph 5, Item 5 of the Act;
- Acquisition of Own Investment Units pursuant to the Provisions of Article 136, Paragraph 2 of the Investment Trust Act
- Gratis Allotment of Investment Unit Warrants
- Deducting all or part of the Loss from the Total Amount of Investment pursuant to Article 136, Paragraph 2 of the Investment Trust Act
- important matters related to a listed real estate investment trust security, or the
operation, business or assets of such investment corporation which have a
remarkable effect on investors’ investment decisions;
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Information on Occurrence of Fact related to Investment Corporation |
- Business improvement order pursuant to the provisions of Article 214 of the
Investment Trust Act;
- Fact causing delisting of a specified security (meaning a specified security
prescribed in Article 163, Paragraph 1 of the Act; the same shall apply hereinafter
in this (b)) or options pertaining to a specified security;
- The amount of net assets is likely to fall below the base net asset value specified
in Article 124, Paragraph 1 of the Investment Trust Act;
- Notice of cancellation of registration pursuant to the provisions of Article 215,
Paragraph 2 of the Investment Trust Act;
- Change in certified public accountants, etc. who carry out audit certification of
financial statements, etc. or interim financial statements, etc. contained in a
securities report or an interim report (excluding a case of disclosing the details on
the basis of the provisions of the preceding a., where a body which decides
business execution has made a decision on changing such certified public
accountants, etc. (including cases where it has made a decision that it will not
carry out matters pertaining to such decision));
- A securities report or an interim report to which audit report or interim audit
reports of Article 3, Paragraph 1 of the Cabinet Office Ordinance on Audit
Certification prepared by two (2) or more certified public accountants or audit
firms are attached is not expected to be submitted to the Prime Minister, etc.
within a period specified in Article 24, Paragraph 1 or Article 24-5, Paragraph 1
of the Act or has not been submitted within such period (except cases where the
issuer discloses that such reports are unlikely to be submitted within said period),
was submitted after such disclosure had been made, or has received the approval
of the Prime Minister, etc. related to the extension of such period;
- Where a notice of canceling an entrustment agreement of administrative works
relating to the investor register is received, or an issuer is unlikely to entrust
works relating to the investor register to an agent approved by the Exchange, or
an issuer has decided that it will not entrust administrative works relating to the
investor register to an agent approved by the Exchange;
- Damage attributable to disaster or damage that has occurred in the course of
execution of business;
- Where a lawsuit pertaining to property claim has been filed, a court has issued a
ruling on such lawsuit, or such lawsuit was completed in whole or part;
- Where a petition for order of provisional disposition that seeks injunction of asset
management and other dispositions similar thereto, such petition has been put to
the court, or procedures pertaining to such petition has been completed in whole
or part outside the court;
- Cancellation of the registration referred to in Article 187 of the Investment Trust
Act pursuant to the provision of Article 216, Paragraph 1 of the Act, or other
dispositions equivalent thereto by an administrative agency based on laws and
regulations;
- Petition for commencement of bankruptcy proceedings or rehabilitation
proceedings by a creditor or an entity other than such investment corporation;
- Dishonor, etc.;
- Where, as a result of occurrence of a dishonor, etc., a petition for
commencement of bankruptcy procedures, etc., or a fact equivalent thereto was
filed with respect to a debtor or a main debtor concerning guaranteed obligations,
and default on right for indemnification against such main debtor is likely to
occur in cases that accounts receivable, loans, or other receivables or such
guaranteed obligations against such debtors;
- Suspension of trade with a main business partner (meaning a business partner
specified in Article 29-2-3, Item 7 of the Enforcement Ordinance) or suspension
of trade with two or more business partners for the same reason or in the same
period;
- Exemption of obligations or extension of a repayment deadline (limited to an
extension that the Exchange deems equivalent to exemption of obligations) by a
creditor, or assumption or fulfillment of obligations by a third party;
- Discovery of resources;
- The ratio of the sum of the values of assets including real estate prescribed in
Article 105, Item 1, Sub-item (vi) of the Enforcement Rules of the Investment
Trust Act (the same shall apply in this (r)) to the total amount of assets has
exceeded fifty hundredths (except the case where the terms and conditions
stipulate that more than fifty hundredths of the total amount of assets will be
invested in assets including real estate;
- important facts
concerning a listed real investment trust security or the operation, business or
assets of such investment corporation which have a remarkable effect on
investors’ investment decisions;
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Information related to Asset Management Company Decisions |
- Application pertaining to delisting of a real estate investment trust security to a
financial instruments exchange in Japan;
- Merger of such asset management company;
- Petition for commencement of bankruptcy proceedings, rehabilitation proceedings,
or reorganization proceedings of such asset management company;
- Dissolution of such asset management company (excluding a dissolution by a
merger);
- Discontinuation or abolishment of business pertaining to asset management
entrusted by such investment corporation;
- Discontinuation or abolishment of whole or part of asset management entrusted
by such investment corporation;
- Demerger of such asset management company;
- Transfer or receipt of business in whole or part of such asset management
company;
- Cancellation of the entrustment contact pertaining to asset management that has
been concluded with such investment corporation;
- Stock swap of such asset management company;
- Stock transfer of such asset management company;
- Share delivery of such asset management company;
- Commencement of new asset management based on entrustment from such
investment corporation;
- Application for an authorization or approval, or notification, that such asset
management company makes to the Prime Minister, etc. pursuant to the Act; or
- important
matters concerning a listed real investment trust security or the operation,
business or assets of such asset management company which have a remarkable
effect on investors’ investment decisions; or
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Information on Occurrence of Fact related to Asset Management Company |
- Business improvement order pursuant to the provisions of Article 51 of the Act;
- Fact causing delisting;
- In addition to the facts referred to in (a) and the preceding (b), authorization,
approval or disciplinary actions by an administrative agency in accordance with
laws and regulations;
- Change in a specific related corporation (meaning the specific related corporation
prescribed in Article 166, Paragraph 5 of the Act;
- Change in major shareholder;
- Where a lawsuit of a claim relating to property rights management of assets
entrusted by such investment corporation is raised or a judgment is made as to
such lawsuit or whole or part of the action pertaining to such lawsuit is completed
without a judicial decision;
- Where a petition for order of provisional disposition that seeks injunction of asset
management entrusted by such investment corporation has been filed and other
dispositions similar thereto has been imposed, such petition has been put to the
court, or procedures pertaining to such petition have been completed in whole or
part outside the court;
- Petition for commencement of bankruptcy proceedings by a creditor or an entity
other than such asset management company, etc.;
- Dishonor, etc.;
- Petition for commencement of bankruptcy proceedings pertaining to specific
related corporation;
- important facts
concerning a listed real investment trust security or the operation, business or
assets of such asset management company which have a remarkable effect on
investors’ investment decisions;
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