| Role | Name | Operation |
|---|---|---|
| Investment Corporation | Invincible Investment Corporation | Invincible Investment Corporation (hereinafter “INV”) invests funds received from unitholders into investment assets in accordance with its Articles of Incorporation, aiming to ensure steady asset growth and stable revenues from a medium-to-long-term perspective. |
| Asset Manager / Administrative Agent relating to the organizational management | Consonant Investment Management Co., Ltd. | Consonant Investment Management Co., Ltd. (hereinafter “CSNT”) concluded an Asset Management Services Agreement with LCP Investment Corporation (hereinafter “LCP”) on September 21, 2005. In accordance with this agreement, it has been undertaking operations related to the management of assets as set forth under the Articles of Incorporation of LCP and the asset management guidelines that form the internal rules of CSNT as an asset management company under the Law Concerning Investment Trusts and Investment Corporations (hereinafter “the Law”). INV succeeded the agreement upon the merger on February 1, 2010 and CSNT now undertakes the following operations: (1) Services relating to management of investment assets (2) Services relating to funding to be arranged by INV (3) Services relating to reporting on status of investment assets to INV (4) Services relating to drawing up operational plans in relation to the investment assets of INV (5) Other services accompanying or relating to the above (1) through (4) as requested by INV from time to time In addition, CSNT concluded an Administrative Agency Agreement for Organizational Management with INV as of October 31, 2011. Pursuant to the Agency Agreement for Organizational Management, CSNT shall conduct the following operations as an administrative agent under the Law (Paragraph 4 of Article 117 of the Law): (1) Services relating to operation of unitholders’ meetings of INV (excluding services to dispatch the documents of the unitholders’ meetings, acceptance of voting forms and counting of voting rights) (2) Services relating to the operation of the meetings of the board of directors (3) Other services accompanying or associated with the above (1) and (2) |
| Administrative Agent / Asset Custodian | Sumitomo Mitsui Trust Bank, Limited | Sumitomo Mitsui Trust Bank, Limited (hereinafter “Sumitomo Mitsui Trust Bank”) concluded a Custody Services Agreement and Administrative Agency Agreement with LCP on September 20, 2005. INV succeeded these agreements, upon the merger on February 1, 2010. In addition, these agreements were partially amended as of October 31, 2011. Based on the above Administrative Agency Agreement, Chuo Mitsui Trust and Banking undertakes the following operations as an administrative agent under the Law (Paragraphs 5 and 6 of the Article 177 of the Law): (1) Services relating to accounting (2) Services relating to preparation of account books (3) Services relating to tax (4) Other services associated with or accompanying the above (1) through (3) Furthermore, based on the above Custody Services Agreement, Sumitomo Mitsui Trust Bank undertakes the following operations as an asset custodian under the Law (Article 208 of the Law): (1) Services relating to the custody of documents (registered titles of real estate, certificates of trust beneficiary rights, agreements, marketable securities and other certificates and documents), evidencing the rights to the assets held by INV (all the assets acquired by INV in accordance with Article 193 of the Law within the scope of the Articles of Incorporation of INV drawn up in accordance with Article 67 of the Law) that are required when executing its respective rights, as well as other documents (2) Services relating to management of deposits into and withdrawals from bank accounts as well as fund transfers (3) Services relating to preparation of account books (4) Delivery and transportation services required in connection with the above (1) through (3) (5) Services relating to custody of seal impressions of INV (6) Other services associated with or accompanying to the above (1) through (5) |
| Administrator of Unitholder Registry / Special Account Manager | Sumitomo Mitsui Trust Bank, Limited | Sumitomo Mitsui Trust Bank concluded an Administrator of Unitholder Registry Agreement with INV on January 19, 2010. In accordance with this agreement, Sumitomo Mitsui Trust Bank undertakes the following operations as an administrative agent under the Law: (1) Services relating to preparation, management and keeping of a unitholder registry (2) Services relating to making records to a unitholder registry, and registration or termination of pledge of investment units (3) Services relating to registration of name and address of unitholders, etc. (4) Services relating to receipt of notifications submitted by unitholders, etc. (5) Services relating to sending notifications of convocation to unitholder meetings, notification of resolutions and incidental reference documents, etc., as well preparation of voting forms (or proxies), etc. (6) Services relating to calculation of cash distribution (dividends) and payment procedures (7) Services relating to determination and payment of cash distributions after the payment period set by banks handling the administrative affairs related to the payment of cash distributions, etc. have passed (8) Services relating to responding to inquiries regarding investment units and issuance of various certifications (9) Services relating to organization and keeping of documents belonging to INV used to process entrusted administrative tasks and undelivered mail (10) Services relating to issuance of collected investment units (11) Services relating to consolidation or splitting of investment units (12) Services relating to receipt of submissions of requests in relation to the exercise of unitholders’ rights and other requests from unitholders (limited to matters related to the above (1) through (11)) (13) Services relating to preparation of statistics on investment units required by INV based on laws and regulations, or this agreement (14) Services relating to sending and receiving of information from other transfer agents (15) Other than matters in the above (1) through (14), services agreed by INV and Sumitomo Mitsui Trust Bank Sumitomo Mitsui Trust Bank concluded an Agreement on the Management of Special Accounts with LCP on November 18, 2008. In accordance with the agreement, Sumitomo Mitsui Trust Bank, as an administrative agent under the Law, has been undertaking operations relating to the preparation, management and keeping of a transfer account book in relation to the special accounts of pre-merger LCP unitholders as well as other services relating to the transfer account book of the pre-merger LCP unitholders. Upon the merger on February 1, 2010, INV succeeded the agreement. |
| Special Account Manager | Mitsubishi UFJ Trust and Banking Corporation | Daiko Clearing Services concluded an Agreement on the Management of Special Accounts with INV on December 26, 2008. In accordance with this agreement, Daiko Clearing Services, as an administrative agent under the Law, undertakes operations relating to the preparation, management and keeping of a transfer account book in relation to the special accounts of pre-merger unitholders of INV as well as other services relating to the transfer account book of the pre-merger unitholders of INV. Furthermore, the operation regarding administrator of unitholder registry was transferred from Daiko Clearing Services Corporation to Mitsubishi UFJ Trust and Banking Corporation due to the corporate splite-up as of January 1, 2011. Furthermore, the Special Account Manager, Chuo Mitsui Trust and Banking, re-concluded the Agreement on the Management of Special Accounts with INV on August 31, 2011. The Agreement shall become effective on October 1, 2011, when Chuo Mitsui Trust and Banking started undertaking the above operations and other services in accordance with the re-concluded Agreement. |