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Share Issuance and Disposal4598Delta-Fly Pharma,Inc.Pharmaceuticals

Notice Regarding the Monthly Exercise Status of the 12th Series of Stock Acquisition Rights Issued through a Third-Party Allotment (with Exercise Price Adjustment Clause)

In October 2026, 9,100 of the 12th Stock Acquisition Rights were exercised and 910,000 shares were delivered. As of month-end, 41,100 rights (4,110,000 shares) remained unexercised.

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Details of issuance or disposal

Monthly exercise status of the 12th Series Stock Acquisition Rights (with provisions for adjustment of the exercise price) issued through a third-party allotment

発行・処分する株式数

Number of shares delivered during the month: 910,000 shares (910,000 new shares and 0 treasury shares transferred)

Intended allottee
EVO FUND (allottee at the time of issuance)
発行済株式総数

Exercise ratio subject to exercise restrictions: 6.36% (910,000 shares / 14,305,000 shares)

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
Exercise price during the month under review: ¥72–¥114. Details of the adjustment clause: Not disclosed
Number of Stock Acquisition Rights
Total issued: 100,000 rights; unexercised as of the end of the month preceding the month under review: 50,200 rights; unexercised as of month-end: 41,100 rights
Procedures under the Corporate Code of Conduct
As the status of compliance with exercise restrictions, the disclosure states that the exercise restrictions under Article 434 of the Listing Regulations were observed.
Most recent equity financing
7 August 2026: Issuance of the 12th Stock Acquisition Rights (with an exercise price adjustment clause) (issuance terms and amount: Not disclosed in this document), 7 August 2026: Issuance of the 3rd unsecured corporate bonds (privately placed bonds) (details: Not disclosed in this document)
Details of issuance or disposal
ItemDetails
Type of issuance or disposalMonthly exercise status of the 12th Series Stock Acquisition Rights (with provisions for adjustment of the exercise price) issued through a third-party allotment
Number of shares to be issued or disposed ofNumber of shares delivered during the month: 910,000 shares (910,000 new shares and 0 treasury shares transferred)
Intended allotteeEVO FUND (allottee at the time of issuance)
Dilution RateExercise ratio subject to exercise restrictions: 6.36% (910,000 shares / 14,305,000 shares)
Total number of issued shares19,285,000 shares (as of the end of the month preceding the month under review) → Not disclosed
Exercise priceExercise price during the month under review: ¥72–¥114. Details of the adjustment clause: Not disclosed
Number of Stock Acquisition RightsTotal issued: 100,000 rights; unexercised as of the end of the month preceding the month under review: 50,200 rights; unexercised as of month-end: 41,100 rights
Procedures under the Corporate Code of ConductAs the status of compliance with exercise restrictions, the disclosure states that the exercise restrictions under Article 434 of the Listing Regulations were observed.
Most recent equity financing7 August 2026: Issuance of the 12th Stock Acquisition Rights (with an exercise price adjustment clause) (issuance terms and amount: Not disclosed in this document), 7 August 2026: Issuance of the 3rd unsecured corporate bonds (privately placed bonds) (details: Not disclosed in this document)
Items this document does not state (19)
Issue price and disposal priceTotal issue valueAmount of funds to be raisedEstimated issuance expensesSpecific use of fundsPayment dateIntended 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.

To report the monthly exercise status of these Stock Acquisition Rights in October 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 Regarding the Monthly Exercise Status of the 12th Series of Stock Acquisition Rights Issued through a Third-Party Allotment (with Exercise Price Adjustment Clause) | Delta-Fly Pharma,Inc. (4598) timely disclosure | Komori