| December 26, 2022: |
Filing a criminal charge of committing insider trading of the shares of Ateam Inc. （１） <Summary>
The SESC filed a criminal charge against a suspect with the Tokyo District Public Prosecutors Office for violations of the Financial Instruments and Exchange Act (hereinafter “FIEA”) (insider trading and providing of insider information).
Suspect A was an employee of SQUARE ENIX CO., LTD. (hereinafter “SQUARE ENIX”), and around late September 2020, came to know in the course of his/her duty one material fact concerning the operations, business, or assets of Ateam Inc. (hereinafter “Ateam”), the shares of which are listed on the securities market of the Tokyo Stock Exchange, that has a significant influence on investors' investment decisions, such as the fact that development of a new game for mobile phones that Ateam and SQUARE ENIX had jointly been promoting had progressed to a stage where distribution would be expected to begin, and another material fact concerning Ateam’s business, etc. to the effect that the executive decision-making body of Ateam had made a decision to form a business alliance to jointly manage the distribution, etc. of the game.
- Suspect A purchased a total of approximately 91,000 shares of Ateam for a total of approximately 105 million yen under the name of suspect A via a securities firm between around late September 2020 and around late February 2021, prior to the announcement of each material fact, despite there being no applicable exemption clause under the FIEA.
- Around late December 2020, prior to the announcement of each material fact, suspect A informed his/her acquaintance of each material fact, with the intent of enabling the acquaintance to make a profit by purchasing the shares of Ateam in advance. Based on this, the acquaintance purchased a total of 10,000 shares of Ateam for a total of approximately 11.8 million yen under the name of the acquaintance via a securities firm between around mid-January 2021 and around mid-February 2021, prior to the announcement of each material fact, despite there being no applicable exemption clause under the FIEA.
|
| December 26, 2022: |
Filing a criminal charge of committing insider trading of the shares of Ateam Inc. （２） <Summary>
The SESC filed a criminal charge against a suspect with the Tokyo District Public Prosecutors Office for violation of the Financial Instruments and Exchange Act (hereinafter “FIEA”) (insider trading).
Suspect A was an employee of SQUARE ENIX CO., LTD. (hereinafter “SQUARE ENIX”), and around mid-December 2020, came to know in the course of his/her duty one material fact concerning the operations, business, or assets of Ateam Inc. (hereinafter “Ateam”), the shares of which are listed on the securities market of the Tokyo Stock Exchange, that has a significant influence on investors' investment decisions, such as the fact that development of a new game for mobile phones that Ateam and SQUARE ENIX had jointly been promoting had progressed to a stage where distribution would be expected to begin, and another material fact concerning Ateam’s business, etc. to the effect that the executive decision-making body of Ateam had made a decision to form a business alliance to jointly manage the distribution, etc. of the game and purchased a total of 120,000 shares of Ateam for a total of approximately 144.7 million yen under the name of suspect A via a securities firm between around late January 2021 and around late February 2021, prior to the announcement of each material fact, despite there being no applicable exemption clause under the FIEA. |
