東海東京フィナンシャル・ホールディングス（8616） – [Summary]Consolidated Financial Summary (for the nine months ended December 31, 2021)

Consolidated Financial Summary (for the nine months ended December 31, 2021)Member of the Financial Accounting Standards FoundationJanuary 28, 2022 Company Name: Stock Listings: Stock Code: Representative: Contact:Tokai Tokyo Financial Holdings, Inc.First sections of the Tokyo Stock Exchange and Nagoya Stock Exchange8616Ichirou Gouda, PresidentJunichi TakahashiGeneral Manager – Finance Planning DepartmentTelephone: +81-(0)3-3517-8391 URL:http://www.tokaitokyo-fh.jp/ Expected date for submission of quarterly report: Scheduled day of commencing dividend payment: Supplementary explanation documents for quarterly earnings: Yes Quarterly results briefing planned:NoneFebruary 9, 2022(cid:695)1. Consolidated Financial Results for the Nine Months Ended December 31, 2021 (1) Consolidated Results of Operation (Figures in percentages denote the year-on-year change.)(Figures are rounded down to the nearest one million yen and those in parentheses are negative figures.)Operating revenueNet operating revenueOperating incomeOrdinary incomeNine months endedDecember 31,2021December 31,2020million yen 62,07150,004 %24.18.0 (Note) Comprehensive incomemillion yenmillion yen60,36448,111 Nine-month ended December 31, 2021:9,2945,730 %25.57.1 %62.2－million yen 11,1907,121 %57.1－ 12,2595,087 %141.0102.912,652 million yen [111.5%]Nine-month ended December 31, 2020:5,983 million yen [202.9%]Profit attributable toowners of parentmillion yenNet income per shareDiluted net incomeper shareNine months endedDecember 31,2021December 31,2020 yen 49.3520.48yen 49.23－ dilution effect. previous year’s consolidated results of operation reflect that. (2) Consolidated Financial Position (Note) We post no figure of diluted net income per share for the 3rd Quarter of FYE March 2021 as the Company has no potential stock that has (Note) From the 1st Quarter of FYE March, 2022 the Company has made changes in the presentation method. Therefore, the operating income ofTotal assetsNet assetsEquity ratioNet assets per shareAs ofDecember 31,2021March 31,2021 (Reference) Shareholders’ equity million yen 1,536,495 1,416,569 December 31, 2021: 171,676 million yenmillion yen 184,655172,684 March 31, 2021: 165,572 million yen% 11.211.7yen690.95666.652. Dividends(Base date)Fiscal year Ended March 31, 2021 Ending March 31, 2022End offirst quarterEnd ofsecond quarteryenyen 8.00 10.00－－Dividend per shareEnd ofthird quarterEnd of yearAnnualyen － yen 14.00yen 22.00 Ending March 31, 2022 (Forecast)(Note) 1) Revision to the dividend forecast that has been disclosed lastly: None－－ 2) The dividend of 8.00 yen at the end of second quarter for the year ending March 31, 2021 includes commemorative dividend  of 2.00 yen. 3) The dividend of 14.00 yen at the end of year for the year ended March 31, 2021 includes commemorative dividend  of 2.00 yen. 4) Dividend forecast for the fiscal year ending March 31, 2022 has not been determined.3. Forecast of Consolidated Operating Results for Fiscal 2021 (from April 1, 2021 to March 31, 2022)The Group operates principally in the financial instruments business, and its operating results are likely to be affected by market fluctuations.Due to such nature of its business and consequential difficulty in predicting its performance, the Group does not disclose the forecast of operatingresults.* Notes Consolidation): Yes(1) Important Changes in Subsidiaries during the Term (Changes Pursuant to the Subsidiaries that Lead to a Change in the Scope of New : 2 companies (ACE Securities Co.,Ltd. , Maruhachi Securities Co.,Ltd. ) Exclusion : None(2) Application of Special Accounting Treatments in Preparing Quarterly Consolidated Financial Statements: None(3) Changes in Accounting Policies or Estimates and Retrospective Restatements 1) Changes in accounting policies in accordance with revision of accounting standards: Yes 2) Changes in accounting policies other than item 1) above: None 3) Change in accounting estimates: None 4) Retrospective restatements: None (4) Number of Shares Issued (Common Stock) 1) Number of shares issued at the end of the term including treasury shares As of December 31, 2021:260,582,115 As of March 31, 2021:260,582,115 2) Number of treasury shares at the end of the term March 31, 2011: As of December 31, 2021:12,118,156 As of March 31, 2021:12,218,314 3) Average number of shares outstanding (for the nine months) Nine months ended December 31, 2021: 248,394,798Nine months ended December 31, 2020: 248,365,067 * This consolidated financial summary is not subject to certified public accountant’s or audit corporation’s review. * Note to proper use of forecast of operating results and other special remarks Dividends for the fiscal year ending March 31, 2022 have not been determined because it is difficult to forecast operating results, as described similarly in “3.Forecast of Consolidated Operating Results for Fiscal 2021.” * How to view supplementary explanation documents for quarterly earnings Supplementary explanation documents for quarterly earnings will be available on both Timely Disclosure network and our website on Friday, January 28, 2021.Consolidated Financial Statements(1) Consolidated Balance SheetsAssetsCurrent assetsCash and depositsCash segregated as depositsCash segregated as deposits for customersCash segregated as deposits for othersTrading productsTrading securities and otherDerivativesTrade date accrualMargin transaction assetsLoans on margin transactionsCash collateral pledged for securities borrowing on margintransactionsLoans secured by securitiesCash collateral pledged for securities borrowedLoans on Gensaki transactionsAdvances paidShort-term guarantee depositsShort-term loans receivableAccrued incomeOtherAllowance for doubtful accountsTotal current assetsNon-current assetsProperty, plant and equipmentIntangible assetsInvestments and other assetsInvestment securitiesLong-term guarantee depositsDeferred tax assetsRetirement benefit assetOtherAllowance for doubtful accountsTotal non-current assetsTotal assets(Unit: million yen)As ofMarch 31, 2021As ofDecember 31, 202183,58983,62280,8002,821588,098583,3914,706－100,45034,36266,087407,82928,756379,0728,39537,91514,4924,18914,196(101)1,342,67610,7405,59457,55748,1553,862354,4461,423(364)73,8931,416,569131,35277,22474,0013,223548,584543,2655,3192,59878,12050,89227,227543,904151,001392,90361438,02231,7663,7405,965(110)1,461,78510,8186,89057,00143,9535,450426,4701,440(355)74,7101,536,495 LiabilitiesCurrent liabilitiesTrading productsTrading securities and otherDerivativesTrade date accrualMargin transaction liabilitiesBorrowings on margin transactionsCash received for securities lending on margin transactionsBorrowings secured by securitiesCash received on debt credit transaction of securitiesBorrowings on Gensaki transactionsDeposits receivedGuarantee deposits receivedShort-term borrowingsShort-term bonds payableCurrent portion of bonds payableIncome taxes payableProvision for bonusesProvision for directors’ bonusesOtherTotal current liabilitiesNon-current liabilitiesBonds payableLong-term borrowingsDeferred tax liabilitiesProvision for retirement benefits for directors (and other officers)Retirement benefit liabilityOtherTotal non-current liabilitiesReserves under special lawsReserve for financial instruments transaction liabilitiesTotal reserves under special lawsTotal liabilitiesNet assetsShareholders’ equityShare capitalCapital surplusRetained earningsTreasury sharesTotal shareholders’ equityAccumulated other comprehensive incomeValuation difference on available-for-sale securitiesForeign currency translation adjustmentRemeasurements of defined benefit plansTotal accumulated other comprehensive incomeShare acquisition rightsNon-controlling interestsTotal net assetsTotal liabilities and net assets (Unit: million yen)As ofMarch 31, 2021As ofDecember 31, 2021379,293370,3718,9219,24011,5559,1282,426368,6714,123364,54772,41912,626244,78616,00017,5102,4142,283576,2141,143,07311,86384,2001,290921632,566100,1766356351,243,88436,00024,587107,390(5,292)162,6851,490(571)1,9672,8864426,669172,6841,416,569479,024468,45810,565－24,71923,2661,452366,86336,672330,19099,00417,292194,97719,50024,3507021,335488,4131,236,23222,88587,3002,0141022212,381114,9057027021,351,84036,00024,579113,689(5,249)169,0191,200(167)1,6232,65748512,493184,6551,536,495(2) Consolidated Statements of Income and Comprehensive IncomeConsolidated Statements of Income(Nine months ended December 31)Operating revenueCommission receivedBrokerage commissionCommission for underwriting, secondary distribution andsolicitation for selling and others for professional investorsFee for offering, secondary distribution and solicitation forselling and others for professional investorsOther fees receivedNet trading incomeFinancial revenueTotal operating revenueFinancial expensesNet operating revenueSelling, general and administrative expensesTrading related expensesPersonnel expensesReal estate expensesOffice expensesDepreciationTaxes and duesProvision of allowance for doubtful accountsOtherTotal selling, general and administrative expensesOperating incomeNon-operating incomeDividend incomeShare of profit of entities accounted for using equity methodGain on investments in investment partnershipsOtherTotal non-operating incomeNon-operating expensesLoss on investments in investment partnershipsForeign exchange lossesOtherTotal non-operating expensesOrdinary incomeNine months endedDecember 31, 2020Nine months endedDecember 31, 2021(Unit: million yen)22,68410,3647474,4147,15725,1172,20250,0041,89248,1117,44120,3255,0855,0112,292981331,20842,3815,7302238373851461,5921554402007,12128,82310,8179138,0339,05828,0015,24662,0711,70760,3649,66324,2585,8156,3532,1481,403－1,42651,0699,2943411,2982831312,055125102315911,190 Reversal of reserve for financial instruments transaction liabilitiesExtraordinary incomeGain on sales of non-current assetsGain on sales of investment securitiesGain on bargain purchaseGain on reversal of share acquisition rightsTotal extraordinary incomeExtraordinary lossesLoss on sales of non-current assetsLoss on sales of investment securitiesLoss on valuation of investment securitiesLoss on change in equityLoss on step acquisitionsExtra retirement paymentsTotal extraordinary lossesIncome before income taxesIncome taxes-currentIncome taxes-deferredTotal income taxesProfitProfit attributable to non-controlling interestsProfit attributable to owners of parentProvision of reserve for financial instruments transaction liabilities(Unit: million yen)Nine months endedDecember 31, 2020Nine months endedDecember 31, 2021－2－10112322826442－－－－2717,0786816641,3455,7336455,087661598,2688,495－－－872523634512,4733,19716,4882,8517523,60412,88462512,259 Consolidated Statements of Comprehensive Income(Nine months ended December 31)ProfitOther comprehensive incomeValuation difference on available-for-sale securitiesForeign currency translation adjustmentRemeasurements of defined benefit plans, net of taxShare of other comprehensive income of entities accountedfor using equity methodTotal other comprehensive incomeComprehensive income(Comprehensive income attributable to)Owners of parentNon-controlling interests(Unit: million yen)Nine months endedDecember 31, 20205,733Nine months endedDecember 31, 202112,884590(197)(193)502505,9835,337645(293)402(344)3(232)12,65212,029622 Supplementary Information(1) Breakdown of Commission Received and Net Trading Income① Commission received (ⅰ) By itemNine monthsended December31, 2020Nine monthsended December31, 2021Increase(Decrease) (Unit: million yen)Yr/Yr % change4.4 %Brokerage commissionStocksBondsBeneficiary certificatesCommission for underwriting, secondarydistribution and solicitation for selling andothers for professional investors　　　　Stocks　　　　BondsFee for offering, secondary distributionand solicitation for selling and others forprofessional investors　　　　Beneficiary certificates　 Other fees received　　　　Beneficiary certificates (ⅱ) By product　Stocks　Bonds　Others　Beneficiary certificates② Net trading income　Stocks　Bonds and ForexTotalTotalTotal22,68428,823Nine monthsended December31, 2020Nine monthsended December31, 2021Nine monthsended December31, 2020Nine monthsended December31, 202110,81710,347144529134784358,0338,0259,0584,44610,98946512,9234,44428,82315,00412,99728,001453319(14)144165(29)1943,6193,6181,9011,8006,139Increase(Decrease)4021815,562(7)6,139Increase(Decrease)(1,763)4,6472,8843.2(50.6)46.922.2(5.8)81.182.082.126.668.027.163.975.6(0.2)27.1 (Unit: million yen)Yr/Yr % change3.8 % (Unit: million yen)Yr/Yr % change(10.5) %55.711.510,36410,027293077475072404,4144,4077,1572,64610,5862837,3614,45222,68416,7688,34925,117 (2) Comparative Quarterly Consolidated Statements of IncomeFiscal 2020Fiscal 20213rd quarter4th quarter1st quarter2nd quarter3rd quarterOct. 1, 2020 -Dec. 31, 2020Jan. 1, 2021 -Mar. 31, 2021Apr. 1, 2021 -Jun. 30, 2021Jul. 1, 2021 -Sep. 30, 2021Oct. 1, 2020 -Dec. 31, 2020 (Unit: million yen) Operating revenuesCommission receivedBrokerage commission (Stocks)Commission for underwriting, secondarydistribution and solicitation for selling andothers for professional investorsFee for offering, secondary distributionand solicitation for selling and others forprofessional investors (Beneficiary certificates)Other fees received (Beneficiary certificates)Net trading income (Stocks) (Bonds and Forex)Financial revenueTotal operating revenue Financial expenses Net operating revenueSelling, general and administrative expensesTrading related expensesPersonnel expensesReal estate expensesOffice expensesDepreciationTaxes and duesProvision of allowance for doubtfulaccountsOtherTotal selling, general and administrativeexpenses Operating profit Non-operating incomeShare of profit of entities accounted forusing equity methodOther Non-operating expensesOther Ordinary profit Extraordinary income Extraordinary losses Profit before income taxes Income taxes-current Income taxes-deferred Profit Profit attributable to non-controlling interests Profit attributable to owners of parent1,6982,0462,8442,6262,5639,5043,4853,3504362,8422,7381,4089,5875,0864,50088119,97352619,4473,2728,0131,9592,034690495－5002,48060534126323233,0618,4092,8278,6446018697,1721657,0079,6423,5493,3793112,6213,1551,4987,9953,8494,1452,93120,56958819,9803,1298,0711,9162,066699406－5173,1741,0096153931321324,05186264,1101,326(340)3,1232212,9029,6753,7823,6161662,5613,1631,53810,4196,0684,3501,43321,52859220,9363,2608,1731,9402,253758501－4083,640441340100334,077－3433,7339222232,5872382,3488,4893,5713,5033282,0422,5421,0018,8915,6013,2891,97719,35842818,9292,7687,1751,7081,744893385432543,9551,6417538871701705,42689(232)5,7481,551(132)4,3293224,0078,0123,6403,5462661,6952,4079309,1045,6263,47858817,70551517,1902,7476,9251,7091,758776311273862,5495894929742423,096103483,15115702,5781902,388 14,64014,97416,96616,80617,296 (Note) The Company has made changes in the 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 change.