| ISSUER | TYPE OF SECURITY | MATTER CLIENT |
| Sony Financial Holdings
|
¥320 billion global offering of common stock by Sony Corporation, including Regulation S/Rule 144A offering
|
Issuer’s Counsel
Lead Underwriters: Nomura Securities and JP Morgan
|
| Mitsubishi Chemical Holdings Corporation
|
¥120 billion Zero Coupon Guaranteed Convertible Bonds
|
Issuer’s Counsel
Lead Underwriters: Mitsubishi UFJ Securities and Morgan Stanley
|
| Mitsui Trust Holdings
|
¥86 billion global offering of common stock held by Resolution and Collection Corporation, including Regulation S/Rule 144A offering
|
Issuer’s Counsel
Lead Underwriters: Morgan Stanley and Nomura Securities
|
| USJ Co., Ltd.
|
¥28 billion initial public offering in Japan and Regulation S / Rule 144A offering of common stock; primary and secondary offering
|
Issuer’s Counsel
Lead Underwriters: Goldman Sachs International and Nomura Securities
|
| Mitsubishi UFJ Financial Group
|
€500 million and £550 million Regulation S offering of Non-cumulative Perpetual Preferred Securities issued by MUFG Capital Finance 4 and 5, respectively
|
Underwriters’ Counsel
Lead Underwriters: Merrill Lynch and Mitsubishi UFJ Securities International plc
|
| Sumitomo Mitsui Financial Group
|
$1.65 billion and £500 million Regulation S/Rule 144A offering of Non-cumulative Perpetual Preferred Securities issued by SMFG Preferred Capital USD 1 Limited and SMFG Preferred Capital GBP 1 Limited (Cayman)
|
Underwriters’ Counsel
Lead Underwriters: Goldman Sachs International, Merrill Lynch International, Morgan Stanley and Daiwa Securities SMBC Europe
|
| SUMCO Corporation
|
¥61 billion global offering of common stock, including Regulation S/ Rule 144A offering
|
Issuer
|
| Shinsei Bank
|
£400 million Regulation S offering of 5.625% Step-up Callable Perpetual Subordinated Notes
|
Issuer
|
| Toyota Motor Corporation
|
$2.5 billion global secondary offering of common stock and ADSs, including SEC registration
|
Underwriters’ Counsel
Lead Underwriters: Nomura Securities, Nikko Citigroup and Merrill Lynch Japan Securities
|
| ORIX Corporation
|
$1 billion public offering of 5.48% Notes due 2011, including SEC registration
|
Underwriters’ Counsel
Lead Underwriters: Merrill Lynch & Co. and Nomura Securities
|
| Aozora Bank
|
¥351 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; secondary offering
|
Underwriter’s Counsel
Lead Underwriters: Goldman Sachs International, Morgan Stanley, Nikko Citigroup
|
| Idemitsu Kosan Co.
|
¥110 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock
|
Underwriters’ counsel
Lead Underwriters: Daiwa Securities SMBC, UBS Limited
|
| Mitsui Trust Holdings
|
¥98 billion global offering of common stock held by the Resolution and Collection Corporation, including Regulation S/Rule 144A offering
|
Issuer
|
| Elpida Memory, Inc.
|
¥140 billion global offering of common stock, including Regulation S/Rule 144A offering
|
Issuer
|
| Shinsei Bank, Ltd.
|
$700 million Regulation S/Rule 144 A offering of Non-cumulative Perpetual Preferred Securities issued by Shinsei Finance II (Cayman) Limited
|
Issuer
|
| Shinsei Bank, Ltd.
|
$775 million Regulation S/Rule 144 A offering of Step-up Non-cumulative Perpetual Preferred Securities issued by Shinsei Finance (Cayman) Limited
|
Issuer
|
| Shinsei Bank, Ltd.
|
€1 billion Regulation S/Rule 144 A offering of 3.75% Step-up Callable Subordinated Notes Due 2016
|
Issuer
|
| Mitsubishi UFJ Financial Group, Inc.
|
$2.3 billion, €750 million and ¥120 billion Regulation S/Rule 144 A offering of Fixed/Floating Rate Non-Cumulative Preferred Securities issued by MUFG Capital Finance 1, 2 and 3, respectively
|
Underwriters’ counsel
Lead Underwriters: Merrill Lynch, JP Morgan, Deutsche Bank, Nomura Securities and Mitsubishi UFJ Securities International
|
| Mizuho Financial Group
|
$600 million and €500 million Regulation S/Rule 144 A offering of Non-cumulative Perpetual Securities issued by Mizuho Capital Investment (USD) 1 Limited and Mizuho Capital Investment (EUR) 1 Limited
|
Issuer
|
| All Nippon Airways Co., Ltd.
|
¥101 billion global offering of common stock, including Regulation S/Rule 144A offering
|
Underwriters’ counsel
Lead Underwriters: Nomura Securities and Deutsche Bank
|
| Shinsei Bank, Ltd.
|
¥305 billion global secondary offering of common stock, including Regulation S/Rule 144A offering
|
Issuer
|
| MediciNova, Inc.
|
¥13 billion initial public offering in Japan registered in the United States with the SEC
|
Underwriters’ counsel
Lead Underwriter: Daiwa Securities SMBC
|
| The Chuo Mitsui Trust and Banking Company, Limited
|
$850 million Regulation S/Rule 144 A offering of Perpetual Subordinated Notes
|
Issuer
|
| Jupiter Telecommunications Co., Ltd.
|
¥105 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Underwriters’ counsel
Lead Underwriters: Goldman Sachs and Nikko Citigroup
|
| Resona Bank, Ltd.
|
$1.15 billion Regulation S/Rule 144A offering of Step-up Non-cumulative Perpetual Preferred Securities issued by Resona Preferred Global Securities (Cayman) Limited
|
Underwriters’ counsel
Lead Underwriters: Goldman Sachs and Merrill Lynch
|
| Nippon Life Insurance Company
|
$450 million Regulation S/Rule 144A offering of 4¨þ% Notes due 2010 issued by Nissay 2005 Fund Global Special Purpose Company, Ltd.
|
Underwriters¡¯ counsel
Lead Underwriters: J.P. Morgan and Morgan Stanley
|
| Resona Bank, Ltd.
|
$1.3 billion and €800 million Regulation S/Rule 144A offering of Fixed to Floating Rate Perpetual Subordinated Bonds
|
Underwriters’ counsel
Lead Underwriters: Merrill Lynch, Goldman Sachs and UBS
|
| Monex Beans Holdings, Inc.
|
¥40 billion global secondary offering of common stock, including Regulation S/144A offering
|
Issuer
|
| The Tokyo Star Bank, Limited
|
¥85 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Underwriters’ counsel
Lead Underwriters: Nikko Citigroup and Credit Suisse First Boston
|
| Mizuho Financial Group, Inc.
|
¥487 billion global secondary offering of common stock, including Regulation S/Rule 144A offering
|
Issuer
|
| SUMCO CORPORATION
|
¥143 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; secondary offering
|
Issuer
|
| Shinsei Bank, Ltd.
|
¥231 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; secondary offering
|
Issuer
|
| Mizuho Financial Group (Cayman) Limited/Mizuho Financial Group, Inc.
|
$1.5 billion Regulation S/Rule 144A offering of Subordinated Notes and €750 million offering of Step-Up Callable Subordinated Notes
|
Issuer
|
| SOFTBANK Corp.
|
€400 million Regulation S offering of9⅜% Senior Notes due 2011
|
Underwriter’s counsel
Underwriter: Deutsche Bank
|
| Dai-ichi Mutual Life Insurance Company
|
$500 million Regulation S/Rule 144A offering of 5.73% Subordinated Notes due 2014
|
Underwriters’ counsel Lead Underwriters: Merrill Lynch and Goldman Sachs
|
| Japan Tobacco Inc.
|
$2.2 billion Regulation S/Rule 144A offering of common stock held by the Government of Japan
|
Underwriters’ counsel Lead Underwriters: Merrill Lynch and Daiwa Securities SMBC
|
| Seiko Epson Corporation
|
¥132 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Issuer
|
| UFJ Finance Aruba A.E.C./UFJ Bank, Limited, New York Branch
|
$1.25 billion U.S. offering of 6.75% Guaranteed Subordinated Notes due 2013
|
Underwriters’ counsel
Lead Underwriter: Merrill Lynch
|
| UFJ Finance Aruba A.E.C./UFJ Bank, Limited
|
$600 million Regulation S public offering of 8.75% Perpetual Subordinated Notes guaranteed by UFJ Bank
|
Underwriters’ counsel
Lead Underwriters: Goldman Sachs, Merrill Lynch and UBS
|
| UMC JAPAN
|
¥18 billion Zero Coupon Convertible Bonds due 2013; Regulation S offering
|
Initial Purchasers’ counsel (and sole U.S. counsel)
Lead Underwriter: Lehman Brothers
|
| Nidec Corporation
|
¥21.5 billion global public secondary offering of common stock and ADRs, including NYSE listing and SEC registration
|
Underwriter’s counsel; Lead Underwriter: Daiwa Securities SMBC
|
| UMC Japan
|
¥17 billion Zero Coupon Convertible Bonds due 2007; Regulation S/Rule 144A offering
|
Initial Purchaser’s counsel (and sole U.S. counsel); Lead Underwriter: Lehman Brothers
|
| Daido Life Insurance Company
|
¥161.5 billion initial public offering (and demutualization) in Japan and Regulation S/Rule 144A offering
|
Issuer
|
| East Japan Railway Company
|
¥266 billion global secondary offering by the Government of Japan of common stock, including Regulation S/Rule 144A offering
|
Issuer
|
| Nissin Co. Ltd.
|
¥3.7 billion public secondary offering of common stock and ADRs in the United States, including NYSE listing and SEC registration
|
Underwriter’s counsel; Lead Underwriter: Merrill Lynch
|
| Advantest Corporation
|
¥12 billion public secondary offering of common stock and ADRs in the United States, including NYSE listing and SEC registration
|
Underwriter’s counsel; Lead Underwriter: Nomura Securities
|
| Dentsu Inc.
|
¥46.2 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Issuer
|
| NTT DoCoMo Inc.
|
¥950.4 billion global offering of common stock (including ADRs), including Regulation S/Rule 144A offering
|
Underwriters’ counsel; Lead Underwriters: Goldman Sachs and Nikko Salomon Smith Barney
|
| Takefuji Corporation
|
$675 million Senior Unsecured Notes due 2011
|
Underwriters’ counsel; Lead Underwriter: Nikko Salomon Smith Barney
|
| The Sanwa Bank, Limited, New York Branch
|
$2 billion 7.4% Subordinated Notes due 2011
|
Underwriters’ counsel; Lead Underwriter: Merrill Lynch
|
| Acom Co., Ltd.
|
¥103 billion global secondary offering of common stock, including Regulation S/Rule 144A offering
|
Underwriters’ counsel; Lead Underwriter: Merrill Lynch
|
| Matsui Securities Co., Ltd.
|
¥31.4 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Issuer
|
| Dentsu Inc.
|
¥46.2 billion public offering in Japan and Regulation S/Rule 144A offering of common stock; secondary offering
|
Issuer
|
| Nomura Research Institute, Ltd.
|
¥149 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Underwriter’s counsel (and sole U.S. counsel); Lead Underwriter: Nomura Securities
|
| The Bank of Tokyo-Mitsubishi, Ltd.
|
$2 billion global offering of 8.40% Global Senior Subordinated Notes due April 15, 2010 pursuant to first universal shelf registration statement to be filed with the SEC by a Japanese issuer
|
Designated underwriters’ counsel; Lead Underwriters: Merrill Lynch and J.P. Morgan
|
| Oracle Corporation Japan
|
¥798 billion global offering of common stock, including Regulation S/Rule 144A offering; primary and secondary offering
|
Underwriters’ counsel; Lead Underwriters: Nikko Salomon Smith Barney and Morgan Stanley
|
| Toys”R”Us-Japan, Ltd.
|
¥48.8 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Issuer
|
| Crosswave Communications Inc.
|
$243.5 million initial public offering of ADRs in the United States and registration on NASDAQ
|
Underwriters’ counsel; Lead Underwriter: Goldman Sachs
|
| JSAT Corporation
|
¥62.9 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Underwriters’ counsel; Lead Underwriters: Nomura Securities, Daiwa Securities, Morgan Stanley and Merrill Lynch
|
| SKY Perfect Communications Inc.
|
¥148.8 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offering
|
Issuer
|
| Cybird Co., Ltd.
|
¥2.5 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock
|
Underwriters’ counsel; Lead Underwriters: Nomura Securities and UBS Warburg
|
| Trend Micro
|
$655 million global public offering of common stock and ADRs including NASDAQ and SEC registration; secondary offering by Softbank
|
Underwriters’ counsel; Lead Underwriters: Nomura Securities and Merrill Lynch
|
| Uni-Charm Corporation
|
¥14.7 billion global offering of common stock, including Regulation S/Rule 144A offering; primary and secondary offerings
|
Issuer
|
| Sanwa Finance Aruba A.E.C./The Sanwa Bank, Limited, New York Branch
|
$1.5 billion U.S. public offering of 8.35% Guaranteed Subordinated Notes due 2009
|
Underwriters’ counsel; Lead Underwriters: Merrill Lynch
|
| East Japan Railway Company
|
¥652 billion global secondary offering by the Government of Japan of common stock, including Regulation S/Rule 144A offering
|
Issuer
|
| ORIX Corporation
|
$380 million global public offering of common stock and ADRs, including NYSE listing and SEC registration
|
Underwriters’ counsel; Lead Underwriters: Merrill Lynch, Daiwa Securities SBCM, Warburg Dillon Read and J.P. Morgan
|
| ORIX Corporation
|
¥40 billion international public offering of Convertible Notes due 2005, including NYSE listing and SEC registration
|
Underwriters’ counsel; Lead Underwriters: Merrill Lynch, Daiwa Securities SBCM, Warburg Dillon Read and J.P. Morgan
|
| Toyota Motor Corporation
|
$1.45 billion global public secondary offering of common stock and ADRs, including NYSE listing and SEC registration
|
Underwriters’ counsel; Lead Underwriters: Nomura Securities and Merrill Lynch
|
| Sanix Incorporated
|
¥31.4 billion global offering of common stock, including Regulation S/Rule 144A offering; primary and secondary offering
|
Issuer
|
| The Sanwa Bank, Limited/Sanwa International Finance (Bermuda) Trust
|
¥125 billion Regulation S/Rule 144A offering of Mandatory Convertible Preferred Shares
|
Underwriters’ counsel; Lead Underwriters: Merrill Lynch
|
| The Tokai Bank, Limited/Tokai Preferred Capital Company L.L.C.
|
$1 billion Regulation S/Rule 144A offering of Noncumulative Preferred Securities
|
Underwriters’ counsel; Lead Underwriters: Salomon Smith Barney
|
| Mega Chips Corporation
|
7.6 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offerings
|
Underwriters’ counsel (and sole U.S. counsel);
Lead Underwriters: Nomura Securities
|
| Fujitsu Support and Service Co.
|
¥42 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock; primary and secondary offerings
|
Underwriters’ counsel (and sole U.S. counsel);
Lead Underwriters: Nomura Securities
|
| NTT Mobile Communications Networks Inc.
|
¥2,126 billion initial public offering in Japan and Regulation S/Rule 144A offering of common stock (including ADRs); secondary offering
|
Underwriters’ counsel; Lead Underwriters: Goldman Sachs and Nikko Securities
|
| Sumitomo Trust and Banking Company, Limited/STB Cayman Capital Limited
|
¥110 billion Regulation S/Rule 144A offering of Mandatory Exchangeable Subordinated Guaranteed Notes
|
Issuer
|
| Mitsui Trust and Banking Company, Limited/MTB (Cayman) Capital Limited
|
¥100 billion Regulation S/Rule 144A offering of Mandatory Exchangeable Subordinated Guaranteed Notes
|
Issuer
|
| Sawako Corporation
|
¥3.3 billion Regulation S/Rule 144A offering of common stock (including ADRs)
|
Underwriters’ counsel (Lead Underwriters: Nomura Securities and Merrill Lynch)
|
| Japan Tobacco Inc.
|
¥220 billion global secondary offering of common stock by the Government of Japan, including Regulation S/Rule 144A offering
|
Underwriters’ counsel (and sole U.S. counsel);
Lead Underwriters: Goldman Sachs and Nomura Securities
|
| Kawasaki Heavy Industries
|
¥15.8 billion Regulation S/Rule 144A offering of common stock
|
Underwriters’ counsel (and sole U.S. counsel);
Lead Underwriters: Yamaichi Securities and Merrill Lynch
|
