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Share Issuance and Disposal3970Innovation Inc.Information and Communications, Services and Others

Notice Concerning the Monthly Exercise Status of the Eighth and Ninth Series of Stock Acquisition Rights with Exercise Price Adjustment Clauses Issued Through a Third-Party Allotment

Neither the Series 8 nor Series 9 stock acquisition rights was exercised from 1 July 2026 through 31 July 2026. At the end of the month, the unexercised balance was 2,340 rights (234,000 shares) for Series 8 and 727 rights (72,700 shares) for Series 9, unchanged from the end of the previous month.

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Details of issuance or disposal

8th and 9th Stock Acquisition Rights issued through a third-party allotment (with exercise price adjustment clauses)

発行・処分する株式数

Series 8: unexercised balance of 2,340 rights (234,000 shares); Series 9: unexercised balance of 727 rights (72,700 shares)

Terms of the stock acquisition rights
Exercise price
Series 8: ¥2,757; Series 9: ¥3,192. Details of the exercise price adjustment provisions and the adjustment floor: not disclosed
Number of Stock Acquisition Rights
Series 8: total number issued: not disclosed; unexercised balance of 2,340 rights (234,000 shares). Series 9: total number issued: not disclosed; unexercised balance of 727 rights (72,700 shares)
Procedures under the Corporate Code of Conduct
Describes compliance with the exercise restrictions under Article 434 of the Tokyo Stock Exchange Securities Listing Regulations and the Japan Securities Dealers Association Rules Concerning the Handling of Third-Party Allotments and Other Transactions
Most recent equity financing
Timing 7 April 2022 / Type Issuance of Series 8 and Series 9 stock acquisition rights through a third-party allotment (with exercise price adjustment provisions) / Amount Not disclosed
Details of issuance or disposal
ItemDetails
Type of issuance or disposal8th and 9th Stock Acquisition Rights issued through a third-party allotment (with exercise price adjustment clauses)
Number of shares to be issued or disposed ofSeries 8: unexercised balance of 2,340 rights (234,000 shares); Series 9: unexercised balance of 727 rights (72,700 shares)
Total number of issued shares2,762,100 shares (as of the end of the month preceding the month under review) → Not disclosed
Exercise priceSeries 8: ¥2,757; Series 9: ¥3,192. Details of the exercise price adjustment provisions and the adjustment floor: not disclosed
Number of Stock Acquisition RightsSeries 8: total number issued: not disclosed; unexercised balance of 2,340 rights (234,000 shares). Series 9: total number issued: not disclosed; unexercised balance of 727 rights (72,700 shares)
Procedures under the Corporate Code of ConductDescribes compliance with the exercise restrictions under Article 434 of the Tokyo Stock Exchange Securities Listing Regulations and the Japan Securities Dealers Association Rules Concerning the Handling of Third-Party Allotments and Other Transactions
Most recent equity financingTiming 7 April 2022 / Type Issuance of Series 8 and Series 9 stock acquisition rights through a third-party allotment (with exercise price adjustment provisions) / Amount Not disclosed
Items this document does not state (21)
Issue price and disposal priceTotal issue valueAmount of funds to be raisedEstimated issuance expensesSpecific use of fundsPayment dateIntended allotteeIntended allottee's holding policyDilution RateBasis for determining the amount to be paidExercise periodTransfer restriction periodConditions for lifting transfer restrictionsReason for acquisition without considerationCategories and Number of Persons CoveredTotal Stock-Based CompensationUnderwriter / lead underwriterOverallotmentStock Split RatioMajor shareholders after the offeringImpact on Business Performance

These are items the company does not state in this document. We do not leave them blank, nor fill them in from other sources or by inference.

The reasons the company gives

The company's own explanation, not something inferred from the numbers.

To report the monthly exercise status of the Series 8 and Series 9 stock acquisition rights in July 2026.

How to read this page

This is not the documentKomori reads the disclosure the company filed and writes this summary. Figures are as stated by the company and are not audited.
Weight is not a verdictIt measures how much this changes what the company had already told the market. It is not a view on the shares.
Corrections happenIf the company reissues this disclosure, the page is rebuilt from the corrected version and the revision number moves up.
Notice Concerning the Monthly Exercise Status of the Eighth and Ninth Series of Stock Acquisition Rights with Exercise Price Adjustment Clauses Issued Through a Third-Party Allotment | Innovation Inc. (3970) timely disclosure | Komori