東海東京フィナンシャル・ホールディングス（8616） – Financial Highlights for 3rd Quarter of Fiscal Year Ending March 2022

Financial Highlights for 3rd Quarter ofFiscal Year Ending March 2022January 28, 2022 Overview of Consolidated Financial  Overview of Tokai Tokyo SecuritiesTable of contentsResults Financial Summary Operating Revenue Commission Received Net Trading Income Selling, General and Administrative Expenses Non‐Operating Income and Expenses, Extraordinary Income and Loss Assets under Custody Performance Indicators Balance Sheet (Note)  The Company has made changes in presentation methods of  “Real estate expenses” and “Other in the Non‐operating income” since Fiscal 2021. The quarterly consolidated financial statements for Fiscal 2020 reflect these changes.234567891011 Financial Summary Operating Revenue Selling, General and Administrative Expenses Stock Trading Volume and Amount Sales of Foreign Bonds and Structured  Foreign StocksBonds Investment Trusts Net Inflow of Cash and Securities (Individuals) Overview by Business Segment Revenue, Number of Accounts, and Assets under Custody Attained by Each Region Capital Adequacy Ratio (Reference) ACE Securities (Reference) Maruhachi Securities12131415161718192122242526271Overview of Consolidated Financial ResultsFinancial Summary (Consolidated)Operating RevenueNet Operating Revenue   SG&A Expenses　(Operating Revenue=100)Operating Income (Loss)  Non‐Operating Income  Non‐Operating ExpensesOrdinary Income (Loss)　(Operating Revenue=100)  Extraordinary Income  Extraordinary LossIncome (Loss)Before Income Taxes　(Operating Revenue=100) Income Taxes ‐ Current &Profit (Loss) Attributableto Owners of Parent　(Operating Revenue =100)(Million yen)25,00020,00015,00010,0005,0000-5,000FYE Mar 2020FYE Mar 2021FYE Mar 20221QApr–Jun201913,48212,99215,762117‐2,770288184‐2,666‐2,236502QJul–Sep201915,15614,70314,72697‐22402246133169163QOct–Dec201917,66517,21314,929852,28399‐1422,52514166984QJan ‐ Mar202015,38914,85814,71396144721158707564221QApr–Jun202015,36514,69613,563881,132176261,28381242132QJul–Sep202016,93316,22414,176842,0478261312,74216‐           93QOct–Dec202017,70517,19014,640832,549589423,09617103484QJan ‐ Mar202119,35818,92914,974773,9551,6411705,4262889 ‐2321QApr ‐ Jun202119,97319,44716,966852,480605233,061158,4092,8272QJul ‐ Sep202120,56919,98016,806823,1741,0091324,0512086263QOct ‐ Dec202121,52820,93617,296803,64044134,07719‐343‐480‐‐73125621862,5941‐241156333881,862311749562625628‐461,1942,7333,1515,7488,6444,1103,7331677818572301,418431,47120986171,1468491,8492,3884,0077,0072,9022,348111321351411(Million yen)FYE Mar2021Apr–DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=10050,00448,11142,381855,7301,5922007,121142282717,078141,3455,0871062,07160,36451,069829,2942,05515911,190188,4953,19716,488273,60412,25920105105103‐115442101‐01,31991‐11681‐124125120‐16212980157‐3,7261,180233‐268241‐[Quarter on Quarter] Operating Revenue: JPY21,528M, up 5% from the preceding  Profit Attributable to Owners of Parent: JPY2,348M, quarter (QoQ)down 19% QoQ[Year on Year] Operating Revenue: up 24% from the preceding fiscal year (YoY)1Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYE Mar 2020FYE Mar 2021FYE Mar 2022Operating RevenueOrdinary Income (Loss)Profit (Loss) Attributable to Owners of Parent Profit Attributable to Owners of Parent: up 141% YoY (Note) The Company has made changes in presentation methods of  “Real estate expenses” and “Other in the Non‐operating income” since Fiscal 2021. The quarterly consolidated financial statements for Fiscal 2020 reflect these changes.3Operating Revenue (Consolidated)[Quarter on Quarter] Commission Received: JPY9,675M, virtually flat  QoQ; Net Trading Income: JPY10,419M, up 30% QoQ[Year on Year] Commission Received: up 27% YoY; Net Trading Income: up 11% YoYFYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3Q(Million yen)FYE Mar2021Apr–DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100Commission ReceivedNet Trading IncomeFinancial RevenueTotal Operating Revenue6,3526,56456513,4826,9227,30692715,1568,6098,40065617,6657,2877,23986215,3897,3447,23478515,3657,3278,77882816,9338,0129,10458817,7058,4898,8911,97719,3589,5049,58788119,9739,6427,9952,93120,5699,67510,4191,43321,52822,68425,1172,20250,00428,82328,0015,24662,07110013049105127111238124(MIllion yen)25,00020,00015,00010,0005,0000Breakdown648444848547552351104644814397484649494843454448474544947100%80%60%40%20%0%1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3QFYE Mar 2020FYE Mar 2021FYE Mar 2022FYE Mar 2020FYE Mar 2021FYE Mar 2022Commission ReceivedNet Trading IncomeFinancial RevenueCommission ReceivedNet Trading IncomeFinancial Revenue4Commission Received (Consolidated)[Quarter on Quarter] Commission to Consignees: JPY3,782M, up 7% QoQ; Commission for Underwriting: JPY166M, down 47% QoQ; Fee for Offering, Secondary Distribution & Solicitation: JPY2,563M, down 2% QoQ[Year on Year] Commission to Consignees: up 4% YoY; Commission for Underwriting: up 22% YoY; Fee for Offering, Secondary Distribution & Solicitation: up 82% YoY(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 2022FYE Mar2021Apr–DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100Commission to ConsigneesCommission for Underwriting,Secondary Distribution & SolicitationFee for Offering, SecondaryDistribution & SolicitationOther Fees ReceivedCommission Received1Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3Q2,3712,5974,0413,2293,6793,0443,6403,5713,4853,5493,78210,36410,817231201202671513292663284363111667479131,6242,1266,3521,5212,6026,9221,8702,4948,6091,5022,4867,2871,1822,3317,3441,5342,4187,3271,6982,4078,0122,0462,5428,4892,8442,7389,5042,6263,1559,6422,5633,1639,6754,4147,15722,6848,0339,05828,8231075398100100104122182127127(MIllion yen)12,00010,0008,0006,0004,0002,0000Breakdown100%80%60%40%20%0%332638224329223421213216332123021302429304343333272632537374744504245423737391Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3QFYE Mar 2020FYE Mar 2021FYE Mar 20221Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3QFYE Mar 2020FYE Mar 2021FYE Mar 2022Other Fees ReceivedFee for Offering, Secondary Distribution & SolicitationCommission for Underwriting, Secondary Distribution & SolicitationCommission to ConsigneesOther Fees ReceivedFee for Offering, Secondary Distribution & SolicitationCommission for Underwriting, Secondary Distribution & SolicitationCommission to Consignees5Net Trading Income (Consolidated) [Quarter on Quarter] Net Trading Income for Stocks: JPY6,068M, up 58% QoQ; Net Trading Income for Bonds & Forex: JPY4,350M, up 5% QoQ[Year on Year] Net Trading Income for Stocks: down 11% YoY; Net Trading Income for Bonds & Forex: up 56% YoY(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYE Mar2021Apr–DecFYE Mar2022Apr‐DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100StocksBonds & ForexNet Trading Income3,6762,8876,5644,1523,1537,3065,2473,1538,4009346,3047,2395,3871,8477,2345,7543,0238,7785,6263,4789,1045,6013,2898,8915,0864,5009,5873,8494,1457,9956,0684,35010,41916,7688,34925,11715,00412,99728,001158105130891561116Selling, General and Administrative Expenses (Consolidated)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QTrading Related ExpensesPersonnel ExpensesReal Estate ExpensesOffice CostDepreciationOtherTotal SG&A Expenses2,8677,4121,9761,88371590815,7622,7096,7281,7032,04777376414,7262,9556,8731,7851,87980163414,9292,8536,8141,6591,70593674414,7132,1476,5901,7001,65577269713,5632,5466,8101,6761,59874380114,1762,7476,9251,7091,75877672514,6402,7687,1751,7081,74489368314,9743,2728,0131,9592,03469099516,9663,1298,0711,9162,06669992316,8063,2608,1731,9402,25375890917,296(Million yen)FYE Mar2021Apr‐DecFYE Mar2022Apr–Dec7,44120,3255,0855,0112,2922,22342,3819,66324,2585,8156,3532,1482,82951,069QoQFYE Mar20222Q=100YoYFYE Mar20219M=1001041011011091089810313011911412794127120[Quarter on Quarter] SG&A Expenses: JPY17,296M, up 3% QoQ.  Trading Related Expenses: JPY3,260M, up 4% QoQ Personnel Expenses: JPY8,173M, up 1% QoQ[Year on Year] SG&A Expenses: up 20% YoY Trading Related Expenses: up 30% YoY  Personnel Expenses: up 19% YoY(Note)  The Company has made changes in presentation methods of  “Real estate expenses” and “Other in the Non‐operating income” since Fiscal 2021. The quarterly consolidated financial statements for Fiscal 2020 reflect these changes.7Non‐Operating Income & Expenses, Extraordinary Income & Loss[Quarter on Quarter] Non‐Operating Income: JPY441M, down 56% QoQ(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 2022Non‐Operating Income2884027211761,6411,0091,5921Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QShare of Profit of EntitiesAccounted for Using Equity MethodOtherNon‐Operating ExpensesShare of Loss of EntitiesAccounted for Using Equity Method‐28818413799‐99‐142‐402246‐72115881‐17347826338488131‐1315894929742‐42753887170‐17060534126323‐23615393132‐1324413401003‐3716926‐262,0551,298756159‐837754200‐2001594455252‐212915510080‐80Other4616430110FYE Mar2021Apr–DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100[Year on Year] Extraordinary Loss: JPY3,197M, up 1,080% YoY(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYE Mar2021Apr–DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100Extraordinary IncomeExtraordinary Loss2,236506916166986422124213‐91034889‐2328,4092,8278626‐3432282718,4953,197‐1,3193,7261,180(Note)  The Company has made changes in presentation methods of  “Real estate expenses” and “Other in the Non‐operating income” since Fiscal 2021. The quarterly consolidated financial statements for Fiscal 2020 reflect these changes.8Assets under Custody[Year on Year] The total volume of the Assets under Custody for Tokai Tokyo Securities was JPY5,666B, up 12% YoY                            The total volume of the Assets under Custody for all the JVs combined was JPY1,905B, up 12% YoY5,9955,6105,1786,4776,2486,1076,2336,5636,1046,3975,7418,0248,2058,2417,1706,740(Billion yen)JV Securities TotalUtsunomiya SecuritiesACE SecuritiesTakagi SecuritiesMaruhachi SecuritiesOtherInvestment TrustsDomestic BondForeign BondStocksTokai TokyoSecurities8,0007,0006,0005,0004,0003,0002,0001,0000StocksBondsForeignDomesticInvestment TrustsOtherTokai Tokyo SecuritiesTakagi SecuritiesUtsunomiya SecuritiesACE Securities Maruhachi SecuritiesJV Securities TotalJV PercentageMar‐15 Mar‐16 Mar‐17 Mar‐18 Mar‐192,3701,0994186801,029274,527297‐‐‐1,42422.8%2,3281,008378630913254,276‐89‐‐1,24422.2%2,5701,067409657991304,659368‐‐‐1,45022.4%2,4111,1024806221,312174,844‐103‐‐1,04717.5%2,129973324648971194,094‐85‐‐99819.3%Jun‐192,2341,079388691986284,329282‐‐‐1,49524.5%Sep‐19 Dec‐19 Mar‐202,2591,044360684991444,339‐‐‐‐1,40224.4%2,4461,1013987021,107284,683‐‐‐‐1,54924.9%2,6421,0963907061,165354,940‐‐‐‐1,62324.7%Jun‐202,4131,0673657021,051494,580‐‐‐‐1,52325.0%Sep‐20 Dec‐20 Mar‐212,9571,0623597021,273585,352‐‐‐‐1,81825.4%2,5621,0673686991,105464,782‐‐‐‐1,61525.2%2,7291,0643617031,194535,042‐‐‐‐1,69825.2%Jun‐213,0591,0723687041,311565,501‐‐4721991,85125.2%(billion yen)Sep‐21 Dec‐213,1641,1193977221,316655,666‐‐4682011,90523.1%3,2031,1003817181,275625,641‐‐4702001,89323.1%* JV Securities (equity method affiliates): YM Securities, Hamagin Tokai Tokyo Securities, Nishi‐Nippon City Tokai Tokyo Securities, Senshu Ikeda Tokai Tokyo Securities, Hokuhoku Tokai Tokyo Securities, Tochigin Tokai Tokyo Securities, and Juroku Tokai Tokyo Securities9Performance Indicators (Consolidated)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q2Q3Q1.00629.390.6‐1.56631.121.04.007.49635.454.7‐1.03630.240.74.003.42630.512.2‐7.45637.194.78.009.62639.736.0‐16.15666.659.714.0011.68692.236.810.009.46690.955.5‐EPS (yen)BPS (yen)ROE (%)Dividend Per Share (Yen)*ROE is annualized1Q28.226,880.6916.6‐(%)20181614121086420(Yen)3025201510501Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYE Mar 2020FYE Mar 2021FYE Mar 2022EPS (yen)ROE (%)10Balance Sheet (Consolidated)(Million yen)Current AssetsCash & DepositsCash Segregated as DepositsTrading ProductsTrade Date AccruralMargin Transaction AssetsLoans Secured by SecuritiesOtherAs ofMar 31, 2021As ofDec 31, 2021Increase(Decrease)1,342,67683,58983,622588,098100,450407,82979,0871,461,785131,35277,224548,58478,120543,90480,000-2,5982,598Non‐current AssetsProperty, Plant & EquipmentIntangible AssetsInvestments & Other AssetsInvestment SecuritiesNet Defined Benefit Asset Other73,89310,7405,59457,55748,1554,4464,95674,71010,8186,89057,00143,9536,4706,577119,10947,763‐6,398‐39,514‐22,330136,075(Million yen)Current LiabilitiesTrading ProductsTrade Date AccruralMargin Transaction LiabilitiesLoans Payable Securedby SecuritiesDeposits ReceivedGuarantee Deposits Received913Short‐term Loans PayableShort‐term Bonds PayableCurrent Portion of BondsProvision for BonusesOther817 Non‐current Liabilities78Bonds Payable1,296‐556‐4,2022,0241,621Long‐term Loans PayableDeferred Tax Liabilities Provision for Directors’Retirement BenefitsNet Defined Benefit Liability OtherReserves under Special LawsTotal LiabilitiesShareholders’ EquityAccumulated otherComprehensive IncomeShare Acquisition RightsNon‐controlling InterestsTotal Net AssetsAs ofMar 31, 20211,143,073379,293As ofDec 31, 2021Increase(Decrease)1,236,232479,0249,24011,555368,67172,41912,626244,78616,00017,5102,2838,686100,17611,86384,2001,290921632,566635‐24,719366,86399,00417,292194,97719,50024,3501,3359,164114,90522,88587,3002,0141022212,3817021,243,884162,6851,351,840107,956169,0196,3342,8864426,669172,6841,416,5692,65748512,493184,6551,536,49593,15999,731‐9,24013,164‐1,80826,5854,666‐49,8093,5006,840‐94847814,72911,0223,1007241058‐18567‐229435,82411,971119,92611Total Assets1,416,5691,536,495119,926Total Liabilities & Net AssetsOverview of Tokai Tokyo Securities(Note) Tokai Tokyo Securities has merged Takagi Securities as of September 1, 2019 Financial SummaryFYE Mar2020Apr–DecFYE Mar2021Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 2022Operating RevenueNet Operating Revenue   SG&A Expenses　(Operating Revenue=100)Operating Income (loss)  Non‐Operating Income  Non‐Operating expensesOrdinary Income (loss)　(Operating Revenue=100)  Extraordinary Income  Extraordinary LossIncome (loss)Before Income Taxes　(Operating Revenue=100) Income Taxes ‐ Current & DeferredQuarterly Profit (Loss)　(Operating Revenue=100)1Q2Q3Q4Q1Q2Q3Q4Q1Q2Q11,76111,11713,146112‐2,02913719‐1,911‐4‐‐1,907‐16‐573‐1,333‐13,27212,65112,66895‐16207318710‐1871‐242430316,08615,44413,691851,7529561,84111‐‐1,841115411,300814,35813,67113,18792483115359546106555231424312,53811,70412,15197‐446881‐359‐1230‐235‐‐86‐149‐14,98814,11012,712851,39710601,50410‐‐104671,037715,32814,65012,854841,796100241,87112‐4126191,248817,09416,49813,394783,103105393,170198716191,1692,0711215,69815,02913,177841,8514021,888120‐126621,226816,10115,34412,980812,3643422,39615‐‐158411,554103Q17,21616,46013,300773,16045103,19519‐‐191,0492,146121,5041,8673,2411,8892,3963,19542,85440,46437,717882,747294253,016712343,13671,0002,136549,01746,83439,458807,376120157,480150‐7,480152,5534,92710107107102‐134132500133‐‐‐133‐125138‐114116105‐2694160248‐0‐239‐255231‐13Operating Revenue(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYE Mar2021Apr–DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100Commission ReceivedCommission to Consignees4,9802,0735,4592,3937,6474,0135,9673,1836,0263,6306,2513,0106,7493,5647,4403,5736,3362,7296,1812,7096,2542,76019,02618,77110,2048,19910110299802282002006515132426532542831116274090252122Commision for Underwriting,Secondary Distribution & SolicitationFee for Offering, SecondaryDistribution & SolicitationOther Fees ReceivedNet Trading IncomeStocksBonds & ForexFinancial Revenue1,4941,4551,8701,5021,1811,5341,6972,0421,8031,6291,7054,4125,1391,1836,2543,6072,6475251,4106,9263,8923,0348861,5637,8044,6183,1856341,2157,5541,3946,1608361,0625,8074,0581,7497041,3817,9365,1262,8098001,2228,0064,7693,2365731,4997,6983,8823,8161,9551,3748,5714,2774,2947901,5317,0873,0544,0332,8331,6259,6105,1224,4871,3513,6654,53121,74913,9537,7942,07725,26912,45412,8154,9751051061361681114810711612411689164240114Total Operating Revenue11,76113,27216,08614,35812,53814,98815,32817,09415,69816,10117,21642,85449,017Commission ReceivedNet Trading Income14Selling, General and Administrative Expenses(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYE Mar2021Apr–DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100Trading‐related ExpensesPersonnel ExpensesReal Estate ExpensesOffice CostDepreciationOther2,2154,5911,4102,3863422,2002,1414,2601,1902,6563502,0702,5154,7961,2402,6494082,0812,3794,4991,2552,5423992,1111,7404,4531,1952,3593302,0722,1474,5271,1892,3863412,1212,1794,5211,1972,5113662,0782,4044,7051,2092,5124002,1612,3714,5211,1652,4023272,3892,2344,5851,1942,4083362,2212,2644,6661,1862,4544002,3276,0666,87013,50113,7733,5817,2561,0376,2713,5467,2651,0656,938Total SG&A Expenses13,14612,66813,69113,18712,15112,71212,85413,39413,17712,98013,30037,71739,458101102991021191051021131029910010311110515Stock Trading Volume and Amount(Million shares, Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYE Mar2021Apr‐DecFYE Mar2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100Number of Shares1,1171,4861,2441,4711,5351,6371,0021,0101,22781334247158%99545553954%33578270%64783856%46178363%76570548%57596063%6321,00561%34765565%41159859%38384469%1,841,883 2,185,899 2,309,382 3,059,720 2,600,043 3,166,857 3,390,381 3,536,094 2,515,751 2,818,068 2,944,870 9,157,282 8,278,6901,031,781 1,231,822 1,018,923 1,651,235 1,174,876 1,821,611 1,748,909 1,827,371 1,204,590 1,459,611 1,456,809 4,745,397 4,121,011954,076 1,290,459 1,408,485 1,425,167 1,345,245 1,641,472 1,708,722 1,311,160 1,358,456 1,488,061 4,411,884 4,157,67850%810,10144%51%52%46%49%42%48%48%44%56%55%48%4,2511,8022,44958%3,2411,1422,09865%12193141‐104100110‐766386‐908794‐DealingBrokerageBrokerage %AmountDealingBrokerageBrokerage %Number of SharesAmount16Foreign Stocks[Quarter on Quarter] Revenue from Foreign Stocks: JPY5,446M, up 22% QoQ[Year on Year] Revenue from Foreign Stocks: up 25% YoY(Million yen)FYEMar 2021Apr‐DecFYEMar 2022Apr‐DecQoQFYEMar 20222Q=100YoYFYEMar 20219M=10011,28614,09412212517Sales of Foreign Bonds and Structured Bonds[Quarter on Quarter] Sales of Foreign Bonds & Structured Bonds: JPY75,831M, up 16% QoQ[Year on Year] Sales of Foreign Bonds & Structured Bonds: up 53% YoY(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QFYEMar 2021Apr–DecFYEMar 2022Apr‐DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100Foreign Bonds　Euro‐Yen denominated bondsStructured BondsTotal Sales9,3773,56425,02534,40216,1735,51823,38839,56110,0192,20342,11052,12915,4964,04938,75954,2558,4425,21722,44730,88810,8393,30031,76342,60210,9742,63950,10261,07611,5915,38351,08262,67313,8263,98551,02964,85618,0084,31147,11865,12620,8669,97954,96575,83130,25411,156104,312134,56752,70018,275153,113205,813116231117116174164147153(Note) Sales volume of Tokai Tokyo Securities18Investment Trust (Sales and Assets under Custody)[Quarter on Quarter] Sales of investment trusts: JPY119B, up 5% QoQ Assets under Custody: JPY1,316B, up 3% QoQ[Year on Year] Sale of Investment Trusts: up 35% YoY; Assets under Custody: up 10% YoY(Million yen)FYEMar 2021Apr–DecFYEMar 2022Apr–DecQoQFYE Mar 20222Q=100YoYFYE Mar 20219M=100SalesAssets under Custody2,709‐3,657‐10510313511019Investment Trust Sales Commissions Agency Commissions[Quarter on Quarter] Sales Commissions: JPY1,704M, up 5% QoQ[Year on Year] Sales Commissions: up 17% YoY[Quarter on Quarter] Agency Commissions: JPY1,186M, up 3% QoQ[Year on Year] Agency Commissions: up 30% YoY(Million yen)(Million yen)FYEMar 2021Apr–DecFYEMar 2022Apr–DecQoQFYE Mar 20222Q=100YoYFYE Mar 20213Q=100FYEMar 2021Apr–DecFYEMar 2022Apr–DecQoQFYE Mar 20222Q=100YoYFYE Mar 20213Q=100SalesCommissions4,4055,1351051172,6443,425103AgencyCommissions13020Net Inflow of Cash and Securities (Individuals)(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 2022 Inflow of Cash Outflow of CashNet Inflow of Cash Inflow of Securities Outflow of SecuritiesNet Inflow of SecuritiesNet Inflow of Cash and Securities1Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3Q53,037‐59,414‐6,37715,402‐3,67911,7235,34648,899‐50,913‐2,01412,076‐5,0507,0265,01253,665‐76,644‐22,97913,337‐14,211‐874‐23,85374,072‐57,04517,02714,070‐7,1016,96923,99640,996‐49,840‐8,84413,225‐6,1967,029‐1,81555,341‐48,6306,71216,889‐5,62911,26017,97263,044‐71,749‐8,70525,455‐14,96310,4921,78774,200‐64,7149,48527,480‐16,32911,15120,63676,221‐79,919‐3,69831,923‐7,24224,68120,98371,572‐64,7596,81384,381‐9,40274,97981,79266,796‐58,9677,82936,426‐12,17124,25532,084*  Excluding the transfer amount to Juroku Tokai Tokyo Securities in 1Q FYE Mar 2020 and the transfer amount from Takagi Securities due to the merger in 2Q FYE Mar 202021Overview by Business SegmentTotal RevenueFYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q２Q3Q(Million yen)FYEMar 2021Apr‐DecFYEMar 2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100RetailNon‐retailTotal%%7,144594,9694112,1147,570566,0044413,57410,099626,0853816,1848,272546,9494615,2217,531585,3754212,9078,288556,7824515,0709,081596,3204115,40110,108597,1484117,2569,146576,8134315,9609,324577,1104316,43510,179587,2264217,40524,9005718,5674343,46828,6515821,1504249,801109‐102‐106115‐114‐115*  Numeric data on this slide were compiled based on the following definition.Retail: Non‐retail:  Accounted for by other than any of the aboveAccounted for by Retail Business Company, Wealth Management Company, Multi‐Channel Company, and IFA Company22Overview by Business Segment[Quarter on Quarter] Revenue from Retail Business Segment: JPY10,179M, up 9% QoQ Revenue from Non‐retail Business Segment: JPY7,226M, up 2% QoQ (please refer to the previous page)[Year on Year] Revenue from Retail Business Segment: up 15% YoY Revenue from Non‐retail Business Segment: up 14% YoY (please refer to the previous page)‐ Revenue from Market & Products Segment: up 16% YoYFYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q２Q3Q(Million yen)FYEMar 2021Apr–DecFYEMar 2022Apr–DecQoQFYE Mar20222Q=100YoYFYE Mar20219M=100RetailCorporate SalesInstitutional SalesMarket & ProductsCorporate FinanceOtherTotal7,1447992513,09138544212,1147,5709592363,83241456113,57410,0997602673,95161149416,1848,2729202764,88518767915,2217,5316482583,42537566612,9078,2887142484,77743560715,0709,0817512994,73235318315,40110,1088352825,05255242417,2569,1468452604,66662641415,9609,3248652265,01745354716,43510,1799432595,31626244417,40524,9002,11580612,9501,1631,53243,46828,6512,65574515,0001,3431,40549,80110910911510658811061151269211611592115* Numeric data on this slide were compiled based on the following definition.Accounted for by Retail Business Company, Wealth Management Company, Multi‐Channel Company, and IFA CompanyRetail: Corporate Sales: Institutional Sales: Market & Products:  Accounted for by Market Division – excluding Institutional Sales Department –, and Platform Division Corporate Finance:  Accounted for by Investment Banking CompanyAccounted for by Corporate Sales DivisionAccounted for by Institutional Sales Department of Market Division23Revenue, Number of Accounts, and Assets under Custody Attained by Each Region (Retail) Revenue by RegionFYE Mar 2020FYE Mar 2021FYE Mar 2022(Million yen)1Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QEastern JapanCentral JapanWestern Japannon‐face‐to‐face accountsTotal1,54122.2%4,46864.5%74210.4%1762.0%6,9271,66722.4%4,74463.7%84011.3%1982.7%7,4492,23922.7%6,02461.2%1,33413.5%2542.6%9,8511,80422.6%4,88761.1%1,04113.0%2633.3%7,9951,68223.3%4,34960.1%98713.7%2132.9%7,2311,86423.2%4,83060.1%1,09513.6%2523.1%8,0412,08623.4%5,40660.7%1,13112.7%2893.2%8,9122,32323.6%5,90760.1%1,27012.9%3343.4%9,8342,10523.6%5,39960.5%1,09312.3%3213.6%8,9172,16324.1%5,29759.0%1,11812.4%4064.5%8,9842,41024.7%5,65557.9%1,24612.8%4594.7%9,770QoQFYE Mar20222Q=100YoYFYE Mar20219M=100111107111113109119112108157114 Number of Accounts by Region(Accounts)FYE Mar 2020FYE Mar 2021FYE Mar 2022Eastern JapanCentral JapanWestern Japannon‐face‐to‐face accountsTotal1Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3Q34,34711.1%109,07335.4%17,3135.6%147,50847.9%308,24142,25212.5%109,96132.6%28,1818.4%156,54546.5%336,93942,55012.6%109,83632.6%28,1548.4%156,13746.4%336,67742,48512.7%108,46432.4%28,2618.4%155,28246.4%334,49242,03612.8%107,09632.6%28,0408.5%151,15146.0%328,32342,11812.9%105,70432.5%28,1218.6%149,39645.9%325,33942,37813.0%105,88432.5%28,1678.6%149,69945.9%326,12838,98812.5%101,03232.5%25,1718.1%145,94946.9%311,14038,93912.4%101,02532.2%24,5917.8%148,73247.5%313,28739,26412.5%101,62832.2%24,7147.8%149,62047.5%315,22639,59712.5%102,36432.3%24,8807.8%150,21047.4%317,051 Assets under Custody by RegionFYE Mar 2020FYE Mar 2021FYE Mar 2022(Billion yen)1Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QEastern JapanCentral JapanWestern Japannon‐face‐to‐face accountsTotal44518.9%1,43760.8%1998.4%27911.8%2,36252720.6%1,45356.8%27810.9%29911.7%2,55756220.8%1,53956.9%29010.7%31311.6%2,70647520.9%1,28756.6%24210.7%26911.8%2,27353321.6%1,39156.3%26110.6%28211.5%2,46956822.2%1,44056.2%26610.4%28811.2%2,56362922.9%1,53355.9%27910.2%30011.0%2,74368823.5%1,62755.4%29610.1%32411.1%2,93772824.2%1,66355.2%2999.9%32410.8%3,01674924.4%1,68955.1%3019.8%32810.7%3,06975724.8%1,67554.8%3009.8%32510.6%3,057QoQFYE Mar20222Q=100YoYFYE Mar20213Q=10010110110110010193978810097QoQFYE Mar20222Q=100YoYFYE Mar20213Q=1001019910099100120109107108111%%%%%%%%%%%%24Capital Adequacy Ratio(Million yen)FYE Mar 2020FYE Mar 2021FYE Mar 20221Q2Q3Q4Q1Q2Q3Q4Q1Q2Q3QCapital Adequacy Ratio (%)Net CapitalRisk amountMarket Risk AmountCustomer Risk AmountBasic Risk Amount378.295,44625,23410,1491,68913,395404.5101,11124,9909,7751,89113,323405.9102,94625,36110,1632,04513,152403.2104,16525,83110,7991,66813,363367.4103,73428,23113,2011,78613,243362.1105,50029,13113,9422,07313,115327.1101,95431,16114,3403,70713,113345.2101,60329,43112,2704,28812,872354.4102,03328,78812,8842,86113,042334.4103,36730,91014,2133,53513,161385.6103,35326,80310,6912,86413,246115100877581101118101867577101QoQFYE Mar20222Q=100YoYFYE Mar20213Q=10025(Reference) ACE Securities Consolidated Statements of Income Stock Trading AmountTotal RevenuesFees and CommissionsBrokerage CommissionsUnderwriting and SalesSubscription and DistributionOther CommissionsTrading Profit and LossStocksBonds & CurrenciesFinancial RevenueFinancial Expenses   SG&A ExpensesTrading‐related ExpensesPersonnel ExpensesOccupancy and EentalOperational ExpensesDepreciation ExpensesTaxes and duesOthersOperating Income  Non‐operating Income  Non‐operating ExpensesOrdinary Income  Extraordinary Income  Extraordinary LossIncome Before Tax  Income Tax ‐ Current & DeferredQuarterly Profit（million yen）FYE March 20221Q2Q3Q1,9921,7094807916304226162635731,69636881716126794922292114140478‐483555‐721,9871,666501‐844319259197616231,605348809141254933937826040462‐466753902,0131,662560‐770331305244604511,71239486313926193210299713050‐305103202(Million yen)FYE March 20221Q2Q84,80621,00263,80475%89,22625,80263,42471%3Q108,29932,87075,42970%AmountDealingBrokerageBrokerage % Asset under Custody and Number of Accounts(Billion yen, Accounts)FYE March2021FYE March2022Asset under CustodyNumber of Accounts4Q456.071,7061Q472.772,9492Q470.173,9643Q468.774,857 Number of Operating Outlets(Number of Operating Outlets)March2021June2021September2021December20211110101026(Reference) Maruhachi Securities Consolidated Statements of Income(Quick Estimation) Asset under Custody and Number of Accounts（million yen）FYE March 20221Q2Q3Q618   8   29   23   728   132   158   107   806   200   200   136   Total RevenuesOperating IncomeOrdinary IncomeQuarterly Profit(Billion yen, Accounts)FYE March2021FYE March 2022Asset under CustodyNumber of Accounts4Q194.924,2451Q199.824,0562Q200.023,8843Q201.223,813 Number of Operating Outlets(Number of Operating Outlets)March2021June2021September2021December2021777727MEMO28Inquiries to be directed to: Corporate Communications Department, Tokai Tokyo Financial Holdings, Inc. TEL: +81‐3‐3517‐8618 FAX: +81‐3‐3517‐8314 E‐mail: fh_ir@tokaitokyo‐fh.jp This material is intended to provide information regarding the Company’s most recent operational result but NOT to solicit investment in securities issued by the Company.