Komori
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 Eighth nor the Ninth Stock Acquisition Rights was exercised in August 2026. As of the end of the month, the unexercised balance was 2,340 units (234,000 shares) for the Eighth Series and 727 units (72,700 shares) for the Ninth Series, unchanged from the end of the previous month.

Worth reading
45Recurring
Scored from 2 of 5 sections
Direction
Neutral
Direction inferred from the company’s description.
Scale
0
Shares
Wording
Definitive
How definitive the wording is.

Details of issuance or disposal

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

発行済株式総数

Exercise ratio subject to exercise restrictions: 0% (0 shares delivered / 2,399,600 listed shares as of the payment date)

The dilution rate shows what proportion the newly issued shares represent of the existing shares. The higher the proportion, the more the value and voting rights per share are diluted.

Terms of the stock acquisition rights
Exercise price
Eighth Series: ¥2,757; Ninth Series: ¥3,192. Details of the exercise price adjustment provisions and the adjustment floor: Not disclosed
Number of Stock Acquisition Rights
Total number issued: Not disclosed. Exercised during the subject month: 0 Eighth Series units, 0 Ninth Series units. Unexercised balance at month-end: 2,340 Eighth Series units, 727 Ninth Series units
Procedures under the Corporate Code of Conduct
Describes compliance with the exercise restrictions under Article 434 of the Tokyo Stock Exchange's Securities Listing Regulations and the Japan Securities Dealers Association's Rules Concerning the Handling of Third-Party Allotments, etc.
Most recent equity financing
7 April 2022: Issuance of the Eighth and Ninth 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)
Dilution RateExercise ratio subject to exercise restrictions: 0% (0 shares delivered / 2,399,600 listed shares as of the payment date)
Total number of issued shares2,762,100 shares (as of the end of the month preceding the month under review) → Not disclosed
Exercise priceEighth Series: ¥2,757; Ninth Series: ¥3,192. Details of the exercise price adjustment provisions and the adjustment floor: Not disclosed
Number of Stock Acquisition RightsTotal number issued: Not disclosed. Exercised during the subject month: 0 Eighth Series units, 0 Ninth Series units. Unexercised balance at month-end: 2,340 Eighth Series units, 727 Ninth Series units
Procedures under the Corporate Code of ConductDescribes compliance with the exercise restrictions under Article 434 of the Tokyo Stock Exchange's Securities Listing Regulations and the Japan Securities Dealers Association's Rules Concerning the Handling of Third-Party Allotments, etc.
Most recent equity financing7 April 2022: Issuance of the Eighth and Ninth Stock Acquisition Rights through a third-party allotment (with exercise price adjustment provisions). Amount: Not disclosed
Items this document does not state (21)
Number of shares to be issued or disposed ofIssue price and disposal priceTotal issue valueAmount of funds to be raisedEstimated issuance expensesSpecific use of fundsPayment dateIntended allotteeIntended allottee's holding policyBasis 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.

The company has not provided a reason. It is reporting the monthly exercise status for August 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