Rating and Bond Information

Daiwa Securities Group Inc.

Rating information (as of Aug 2, 2019)

Bonds

<Straight Bond (million yen)>

Name of bond Issue date Maturity date Issue amount Coupon Amount outstanding
Unsecured Bond
(Series 16)
21-May-14 21-May-21 30,000 0.687% 30,000
Unsecured Bond
(Series 18)
28-Aug-14 28-Aug-24 12,000 0.871% 12,000
Unsecured Bond
(Series 20)
25-Feb-15 25-Feb-25 20,000 0.888% 20,000
Unsecured Bond
(Series 23)
12-Aug-15 12-Aug-25 25,000 0.909% 25,000
Unsecured Bond
(Series 24)
12-Nov-15 11-Nov-22 30,000 0.666% 30,000
Unsecured Bond
(Series 25)
25-Feb-16 24-Feb-23 13,000 0.40% 13,000
Unsecured Bond
(Series 26)
25-Feb-16 25-Feb-26 11,000 0.56% 11,000
Unsecured Bond
(Series 27)
25-Apr-16 25-Apr-23 50,000 0.40% 50,000
Unsecured Bond
(Series 28)
25-Aug-16 25-Aug-26 30,000 0.40% 30,000
Unsecured Bond
(Series 29)
1-Dec-16 1-Dec-23 22,000 0.35% 22,000
Unsecured Bond
(Series 30)
28-Aug-17 26-Aug-22 25,000 0.22% 25,000
Unsecured Bond
(Series 31)
28-Aug-17 27-Aug-27 15,000 0.41% 15,000
Unsecured Bond
(Green Bond)
(Series 32)
29-Nov-18 29-Nov-23 10,000 0.230% 10,000
Unsecured Bond
(Series 33)
29-Nov-18 29-Nov-28 12,000 0.480% 12,000
Unsecured Bond
(Series 34)
02-Jun-20 02-Jun-23 37,000 0.30% 37,000
Unsecured Bond
(Series 35)
02-Jun-20 02-Jun-25 38,000 0.50% 38,000
Name of bond Issue date Maturity date Issue amount Coupon Amount outstanding
$1 billion 3.129%
Senior Notes due 2022
19-Apr-17 19-Apr-22 US$1 billion 3.129% US$1 billion

<Subordinated Bond (million yen)>

Issue Issue Date Maturity Date Issue Amount Coupon
The First Series of Unsecured Perpetual Subordinated Bonds with Optional Redemption Clause and Write-down Clause 16-Mar-20 None 125,000 (1) From March 17, 2020 until June 5, 2025: 1.2% per annum
(2) From the day immediately following June 5, 2025: 6-month yen LIBOR + 1.40%
The Second Series of Unsecured Perpetual Subordinated Bonds with Optional Redemption Clause and Write-down Clause 16-Mar-20 None 25,000 (1) From March 17, 2020 until June 5, 2030: 1.39% per annum
(2) From the day immediately following June 5, 2030: 6-month yen LIBOR + 1.50%

Daiwa Securities Co. Ltd.

Rating information (as of Aug 2, 2019)

Bonds

<Straight Bond (million yen)>

Name of bond Issue date Maturity date Issue amount Coupon Amount outstanding
Unsecured Bond
(Series 6)
17-Dec-10 9-Dec-25 7,800 2.163% 7,800