EX-99.I 3 ex99-1.txt TRANSLATION OF AMENDMENT NO. 3(A) [TRANSLATION] Form No. 1 (1)
-------------------------------------------- Acceptance -------------------------------------------- Amendment No.3 (a) Accepting Accepted Local Number Local Year Finance (Report in accordance with Article 27-25, Finance Bureau in Paragraph 1 of the Securities and Exchange Bureau Charge Law) -------------------------------------------- --------------------------------------------
To: Director of Tokai Local Finance Bureau
Name Fujio Cho, President, Toyota Motor Corporation (b) Effective date of reporting duty December 24, 2002 (c) Address or head office location 1 Toyota-cho, Toyota City, Aichi Prefecture (b) Submitted on January 6, 2003
I. Matters Regarding Submitter 1. Issuing company (d) ------------------------------------------------------------------------------ ------------------------------------------ Name of issuing Aisin Seiki Co., Ltd. Company code 7259 Page number/Total page 1/7 company number ------------------------------------------------------------------------------ ------------------------------------------ *o. Listed 2.Over-the-counter ------------------------------------------------------------------------------ ------------------------------------------ Listed * o. Tokyo o. Osaka o. Nagoya Total number of 2 securities 4. Fukuoka 5. Sapporo submitter exchange and joint holders ------------------------------------------------------------------------------ ------------------------------------------ Head office 1, Asahimachi 2-chome, Kariya City, Aichi Prefecture Submitting method (e) * o. Jointly location 2. Others ------------------------------------------------------------------------------ ------------------------------------------ 2. Submitter (Substantial Shareholder) (f) --------------------------------------------------------------------------------------------------------------------------- * 1. Individual o. Judicial person ( o. Joint stock company 2. Limited liability company 3. Other ( )) --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Name --------------------------------------------------------------------------------------------------------------------------- Toyota Motor Corporation --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Address or head office location --------------------------------------------------------------------------------------------------------------------------- 1 Toyota-cho, Toyota City, Aichi Prefecture, 471-8571 --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Former name --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Former address or head office location --------------------------------------------------------------------------------------------------------------------------- Individual Date of birth (pronunciation) [omitted in translation] --------------------------------------------------------------------------------------------------------------------------- Office's name --------------------------------------------------------------------------------------------------------------------------- Occupation Office's address --------------------------------------------------------------------------------------------------------------------------- Judicial Date of incorporation (pronunciation) [omitted in translation] Title of Representative person August 27, 1937 President --------------------------------------------------------------------------------------------------------------------------- Name of representative Fujio Cho --------------------------------------------------------------------------------------------------------------------------- Business The manufacture, sale, leasing and repair of motor vehicles, industrial vehicles, ships, purposes aircraft, other transportation machinery and apparatus, space machinery and apparatus, and parts thereof, etc. --------------------------------------------------------------------------------------------------------------------------- Place to contact and name Yuji Maki, Project General Manager of Planning Department, Accounting Division of person in charge --------------------------------------------------------------------------------------------------------------------------- Telephone number 0565 (28) 2121 ---------------------------------------- -----------------------------
3. Holding purposes (g) ----------------------------------------------------------------------------- For strategic investment (maintenance and development of the business relationship) ----------------------------------------------------------------------------- Form No. 1 (1) Form No. 1 (2)
-------------------------------------------------- Company code of 7259 ------------------------------------------------------ issuing company Page number/Total page number 2/7 -------------------------------------------------- ------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------- Name of submitter Toyota Motor Corporation (Substantial Shareholder) -------------------------------------------------------------------------------------------------------------------------
4. Breakdown of stock, etc. held by the submitter (h)
----------------------------------------------------------------------------------------------------------------------------- Main Text of Article Article 27-23, Paragraph 3, Article 27-23, Paragraph 3, 27-23, Paragraph 3 Item 1 Item 2 -------------------------- ----------------------------- --------------------------------- ---------------------------------- Shares 65,558,549 shares o shares o shares -------------------------- ----------------------------- --------------------------------- ---------------------------------- Warrants o o shares G shares -------------------------- ----------------------------- --------------------------------- ---------------------------------- Certificate of stock o o shares H shares acquisition rights -------------------------- ----------------------------- --------------------------------- ---------------------------------- Bonds with stock o 4,738,675 shares I shares acquisition rights -------------------------- ----------------------------- --------------------------------- ---------------------------------- Covered warrants D o J relating to applicable securities -------------------------- ----------------------------- --------------------------------- ---------------------------------- Depositary receipts representing o ownership interest in shares -------------------------- ----------------------------- --------------------------------- ---------------------------------- Other related E o K depositary receipts -------------------------- ----------------------------- --------------------------------- ---------------------------------- Bonds redeemable by F o L applicable securities -------------------------- ----------------------------- --------------------------------- ---------------------------------- Total M 70,297,224 shares N o shares O o shares -------------------------- ----------------------------- --------------------------------- ---------------------------------- Number of shares, etc., which P o were transferred through a Total number of issued and margin transaction and outstanding shares S 289,229,898 shares which are to be deducted (as of December 24, 2002) ------------------------------------ ------------------------ ------------------------------- ------------------------- Number of held shares, etc., Q 70,297,224 Percentage of shares, etc. (Total)(M+N+O-P) held by the above-stated submitter 23.91 % (Q/(R+S)x100) ------------------------------------ ------------------------ ------------------------------- ------------------------- Number of potentially diluted R 4,738,675 Percentage of shares, etc. 25.36 % shares held held stated in preceding report (A+B+C+D+E+F+G+H+I+J+K+L) ------------------------------------ ------------------------ ------------------------------- -------------------------
5. Conditions concerning acquisition or disposal during the last sixty (60) days of shares, etc. issued by issuing company(i) ------------------------------------------------------------------------------------------------------------------------------ Date Kind of stock, etc. Number Distinction between Unit Price acquisition and disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- December 24, 2002 Shares of Common Stock 5,451,200 shares *o Acquisition o Disposal JPY 1,536 ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- Form No.1 (2)
Form No. 1 (3)
-------------------------------------------------- Company code of 7259 ------------------------------------------------------ issuing company Page number/Total page number 3/7 -------------------------------------------------- ------------------------------------------------------ Name of submitter Toyota Motor Corporation (Substantial Shareholder) -------------------------------------------------------------------------------------------------------------------------
6. Material agreements including security agreements related to the shares, etc. (j) ----------------------------------------------------------------------------- Not Applicable ----------------------------------------------------------------------------- 7. Funds for acquiring held shares, etc. (k) (1) Breakdown of funds for acquisition
----------------------------------------------------------- ------------------------------------------------------------- Amount of own funds T 21,243,522 Total amount of U o (Y1,000) borrowed funds (Y1,000) ----------------------------------------------------------- ------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------- Other funds Not Applicable (specifically) ------------------------------------------------------------------------------------------------------------------------- Total amount of other V o funds (Y1,000) -------------------------------------------------- -------------------------------------------------------------------------------------------------- Total amount of funds for acquisition 21,243,522 (T+U+V) (Y1,000) --------------------------------------------------------------------------------------------------
(2) Breakdown of loans
---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- Number * Name (Name of Type of * Name of * Location "Purpose" Amount branch) business representative of (Y1,000) borrowing ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 1 Not Applicable * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 2 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 3 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 4 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 5 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 6 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 7 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 8 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 9 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 10 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- Form No. 1 (3)
[TRANSLATION] Form No. 1 (1)
-------------------------------------------------- Acceptance -------------------------------------------------- Amendment No.3 (a) Accepting Accepted Localm Finance Number (Report in accordance with Article 27-25, Local Finance Year Bureau in Paragraph 1 of the Securities and Exchange Bureau Charge Law) --------------------------------------------------
To: Director of Tokai Local Finance Bureau
Name (b) Effective date of reporting duty December 24, 2002 (c) ------------------------------------------------------------------------- ------------------------------------------------------ Address or head office location (b) Submitted on January 6, 2003 ------------------------------------------------------------------------- --------------------------------
I. Matters Regarding Submitter ------------------------------- 1. Issuing company (d) ------------------------------------------------------------------------------ ------------------------------------------ Name of issuing Aisin Seiki Co., Ltd. Company code 7259 Page number/Total page 4/7 company number ------------------------------------------------------------------------------ ------------------------------------------ *o. Listed 2.Over-the-counter ------------------------------------------------------------------------------ ------------------------------------------ Listed * o. Tokyo o. Osaka o. Nagoya Total number of 2 securities 4. Fukuoka 5. Sapporo submitter exchange and joint holders ------------------------------------------------------------------------------ ------------------------------------------ Head office 1, Asahimachi 2-chome, Kariya City, Aichi Prefecture Submitting method (e) * o. Jointly location 2. Others ------------------------------------------------------------------------------ ------------------------------------------ 2. Submitter (Substantial Shareholder) (f) --------------------------------------------------------------------------------------------------------------------------- * 1. Individual o. Judicial person ( o. Joint stock company 2. Limited liability company 3. Other ( )) --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Name --------------------------------------------------------------------------------------------------------------------------- Toyota Central Research & Development Laboratories, Inc. --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Address or head office location --------------------------------------------------------------------------------------------------------------------------- 41-1, Aza Yokomichi, Oaza Nagakute, Nagakute-cho, Aichi-gun, Aichi-ken, 480-1192 --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Former name --------------------------------------------------------------------------------------------------------------------------- (Pronunciation) [omitted in translation] Former address or head office location --------------------------------------------------------------------------------------------------------------------------- Individual Date of birth (pronunciation) [omitted in translation] --------------------------------------------------------------------------------------------------------------------------- Office's name --------------------------------------------------------------------------------------------------------------------------- Occupation Office's address --------------------------------------------------------------------------------------------------------------------------- Judicial Date of incorporation (pronunciation) [omitted in translation] Title of Representative person November 9, 1960 President --------------------------------------------------------------------------------------------------------------------------- Name of representative Riichi Takahashi --------------------------------------------------------------------------------------------------------------------------- Business Development of fundamental technologies and various research, examination and investigation, purposes etc. on the use of such fundamental technologies. --------------------------------------------------------------------------------------------------------------------------- Place to contact and name Mutsushi Ochiai, Manager of Accounting Division of person in charge --------------------------------------------------------------------------------------------------------------------------- Telephone number 0561(63)6158 -------------------------------------------------------------------- 3. Holding purposes (g) ------------------------------------------------------------------------------------------------------------------------- For strategic investment (maintenance and development of the business relationship) ------------------------------------------------------------------------------------------------------------------------- Form No. 1 (1)
Form No. 1 (2)
-------------------------------------------------- Company code of 7259 ------------------------------------------------------ issuing company Page number/Total page number 5/7 -------------------------------------------------- ------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------- Name of submitter Toyota Central R&D Labs., Inc. (Substantial Shareholder) -------------------------------------------------------------------------------------------------------------------------
4. Breakdown of stock, etc. held by the submitter (h)
-------------------------- ----------------------------- --------------------------------- ---------------------------------- Main Text of Article Article 27-23, Paragraph 3, Article 27-23, Paragraph 3, 27-23, Paragraph 3 Item 1 Item 2 -------------------------- ----------------------------- --------------------------------- ---------------------------------- Shares 27,751 shares o shares o shares --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Warrants o o shares G shares --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Certificate of stock o o shares H shares acquisition rights --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Bonds with stock o o shares I shares acquisition rights --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Covered warrants o o J relating to applicable securities --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Depositary receipts representing ownership interest o in shares --- ---------------------- ----------------------------- --------------------------------- --------------------------------- Other related E o K depositary receipts --- ---------------------- ----------------------------- --------------------------------- --------------------------------- Bonds redeemable by F o L applicable securities --- ---------------------- ----------------------------- --------------------------------- --------------------------------- Total M 27,751 shares N o shares O o shares ---------------------------------------------------------------------------------------------------------------------------- Number of shares, etc., which P o were transferred through a Total number of issued and S 289,229,898 shares margin transaction outstanding shares and which are to be deducted (as of December 24, 2002) ------------------------------------ ------------------------ --------------------------------------------------------- Percentage of shares, etc. 0.01 % Number of held shares, etc., Q 27,751 held by the above-stated (Total)(M+N+O-P) submitter ------------------------------------ ------------------------ (Q/(R+S)x100) Number of potentially diluted R o --------------------------------------------------------- shares held Percentage of shares, etc. 0.01 % (A+B+C+D+E+F+G+H+I+J+K+L) held stated in preceding report ----------------------------------------------------------------------------------------------------------------------------
5. Conditions concerning acquisition or disposal during the last sixty (60) days of shares, etc. issued by issuing company(i) ----------------------------------------------------------------------------------------------------------------------------- Date Kind of stock, etc. Number Distinction between Unit Price acquisition and disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- Not applicable *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- *o Acquisition o Disposal ------------------- --------------------------------- ------------------ ------------------------------ ------------------- Form No.1 (2)
Form No. 1 (3)
-------------------------------------------------- Company code of 7259 ------------------------------------------------------ issuing company Page number/Total page number 6/7 -------------------------------------------------- ------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------- Name of submitter Toyota Central R&D Labs., Inc. (Substantial Shareholder) -------------------------------------------------------------------------------------------------------------------------
6. Material agreements including security agreements related to the shares, etc. (j) ------------------------------------------------------------------------------- Not Applicable ------------------------------------------------------------------------------- 7. Funds for acquiring held shares, etc. (k) (1) Breakdown of funds for acquisition
---------------------------------------------------------------------------------------------------------------------------- Amount of own funds T o Total amount of U o (Y1,000) borrowed funds (Y1,000) ----------------------------------------------------------- ------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------- Other funds Not Applicable (specifically) ------------------------------------------------------------------------------------------------------------------------- Total amount of other V o funds (Y1,000) -------------------------------------------------- -------------------------------------------------------------------------------------------------- Total amount of funds for acquisition o (T+U+V) (Y1,000) --------------------------------------------------------------------------------------------------
(2) Breakdown of loans
---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- Number * Name (Name of Type of * Name of * Location "Purpose" Amount branch) business representative of (Y1,000) borrowing ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 1 Not Applicable * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 2 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 3 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 4 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 5 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 6 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 7 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 8 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 9 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- 10 * 12 ---------- ------------------------ -------------- ----------------- ---------------------- ----------- ----------------- Form No. 1 (3)
Form No. 1 (6)
-------------------------------------------------- Company code of 7259 ------------------------------------------------------ issuing company Page number/Total page number 7/7 -------------------------------------------------- ------------------------------------------------------ ---------------------------------------------------------------- ------------------------------------------------- Name of submitter Toyota Motor Corporation Total number of 2 (Substantial Shareholder) submitter and joint holders ---------------------------------------------------------------- ------------------------------------------------- Submitting method * o. Jointly 2. Others -------------------------------------------------
III. Summary List Regarding Submitter and Joint Holders 1. Submitter and joint holders (n)
------------------------------------- ------------------------------------- --------------------------------------- Toyota Motor Corporation ------------------------------------- ------------------------------------- --------------------------------------- Toyota Central Research & Development Laboratories, Inc. ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- --------------------------------------- ------------------------------------- ------------------------------------- ---------------------------------------
2. Breakdown of stock, etc. held by the submitter and the joint holders (o) -------------------------- ----------------------------- --------------------------------- ---------------------------------- Main Text of Article Article 27-23, Paragraph 3, Article 27-23, Paragraph 3, 27-23, Paragraph 3 Item 1 Item 2 -------------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Shares 65,586,300 shares o shares o shares --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Warrants o o shares G shares --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Certificate of stock o o shares H shares acquisition rights --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Bonds with stock o 4,738,675 shares I shares acquisition rights --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Covered warrants D o J relating to applicable securities --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Depositary receipts representing ownership interest o in shares --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Other related E o K depositary receipts --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Bonds redeemable by F o L applicable securities --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- Total M 70,324,975 shares N o shares O o shares --- ---------------------- ----------------------------- --------------------------------- ---------------------------------- ------------------------------------ ------------------------ ---- --------------------------------------------------------- Number of shares, etc., P o which were transferred through a margin transaction and which are to be deducted ------------------------------------ ------------------------ ------------------------------- ------------------------- Total number of issued and S 289,229,898 shares outstanding shares (as of December 24, 2002) ------------------------------------ ------------------------ ------------------------------- ------------------------- Number of held shares, etc., Q 70,324,975 shares (Total)(M+N+O-P) ------------------------------------ ------------------------ ------------------------------- ------------------------- Percentage of shares, etc. 23.92 % held by the above-stated submitter (Q/(R+S)x100) ------------------------------------ ------------------------ ------------------------------- ------------------------- Number of potentially diluted R 4,738,675 shares shares held (A+B+C+D+E+F+G+H+I+J+K+L) ------------------------------------ ------------------------ ------------------------------- ------------------------- Percentage of shares, etc. 25.37 % held stated in preceding report ------------------------------------ ------------------------ ------------------------------- ------------------------- Form No. 1 (6)