Application Form for Initial Listing of a Security

Application Form for Initial Listing of a Security

(Foreign ETF)

Date of Submission: DD/MM/YYYY

____/____/______

To the President and CEO,

Tokyo Stock Exchange, Inc.

Investment Trust Management Company:

Name (Signature) and Title of Representative:

Trustee:

Name (Signature) and Title of Representative:

We hereby apply to list the following security:

1．Security Applying for Listing

Name of Issue / Number of Units of Beneficiary Rights / Principal Amount in Trust / Limit of the Amount of the Principal in Trust
JPY
（ ） / JPY
（ ）

（１）Details related to security applying for listing

①Specific indicatorthe securitytracks

Name of the indicator
Name of the provider

②Overview of the investment trust management company and thetrustee

Trade Name / Name of the Investment Trust Management Company / Name of the Trustee
Content of Business
Establishment
Address of Head Office
Names of Laws and Regulations Pertaining to the Security Applying for Listing
Names of Supervisory Agencies regulating the Security Applying for Listing

③Foreign financial instruments exchange, etc.

Foreign Financial Instruments Exchange, etc. / Main Foreign Financial InstrumentsExchange, etc.
Other Foreign Financial InstrumentsExchanges, etc.
Names of Laws and Regulations Pertaining to the Security Applying for Listing
Names of Supervisory Agencies Regulating the Security Applying for Listing
Trading Currency at the Main ForeignFinancial InstrumentsExchange, etc.

④Details oftrust asset investments (details of the specific assets)

Details ofTrust Asset Investments / Similar Specific Assets / Amount Invested / Investment Ratio
JPY / ％

⑤Status as foreign investment trust

⑥Beneficiary certificates issued and outstanding as of the listing application date

Application (Initial Creation) Date / Number of Units of
Beneficiary Rights / Amount of the Principal of Trust
JPY

（２）Items related to Amended Listing

The total number of units of listing application beneficiary rights may change in the process of creation within the limit of the amount of the principal of the above. As long as the number of units staysbelow the limit, this Application Form will suffice as the amended application for change in the number of listed units. However the total number of units of listing application beneficiary rights may change.

２．Others

（１）Expected change in the number of units of the beneficiary certificates from the listing application date to the date of listing

Date / Number of Incremental Units of Beneficiary Rights / Number of Units of Beneficiary Rights after the Increase / Remarks

（２）Audit opinion (in response to the financial statements related to the listing application of the security)

Name of the current certified public accountant or name of the audit firm

Period
( y/m/d ～ y/m/d) / Period
( y/m/d ～ y/m/d) / Period
( y/m/d ～ y/m/d) / Period
( y/m/d ～ y/m/d)
Name of Current Certified Public Accountant or Name of the Audit firm
Audit Opinion on Financial Statements and Interim Financial Statements in Accordance with the Act

以 上

（Notes）

This “Application Form for the Initial Listing of Securities” is used for a foreign ETF. Please note that a separate “Application Form for the Initial Listing of Securities” must be completed for a domestic ETF or foreign ETF trust beneficiary rights, etc.

An investment trust management company issuch as prescribed in Rule 1001, Item 9 of the Securities Listing Regulations. A trusteeissuch as prescribed in Item 21 of the same Rule.

1．Securityapplying for listing

(i)For the trust principal and number of units of beneficiary rights, please use the expected number as of the listing date. For the "trust principal or the total net assets," area, please enter "total net assets" if the security is already listed on a foreign exchange and enter "trust principal" if it is not listed on a foreign financial instruments exchange. Also, please indicate the amounts of the "trust principal or total assets," as well as the "trust principal" in the local currency in parentheses.

(ii)When the trust principal and the number of units of beneficiary rights are determined at listing, please immediately submit the “Notice of Determination ofListing Application Security,” predetermined by the TSE.

(1)Listing application security

①Overview of the investment trust management company and the trustee

In the column for “Names of laws and regulations pertaining to the security applying for listing,”please describe the names of the laws and regulations that apply to the security applying for listing within the jurisdiction of the head offices of the investment trust management company and trustee. In the column for “Names of supervisory agencies regulating the listing application security,” please describe the supervisory agencies or the like regulating securitieswithin the jurisdiction of the head offices of the investment trust management company and trustee.

② Listed foreign securities exchange, etc.

Please indicate the name of the foreign financial instruments exchange (the one prescribed in Rule 2, Item 14 of the Listing Regulations) on which the security applying forlisting is listed or continuously traded, or is likely to be listed or continuously traded. If the listing application security is dually listed, please describe the items required in the column for “Main Foreign Financial Instruments Exchange.”

In the column titled “Names of laws and regulations pertaining to the security applying for listing,” please enter the names of any laws and regulations at the foreign financial instrument exchange that apply to the security applying forlisting .

In the column titled “Names of supervisory agencies regulating the listing application security,” please enter the names of the supervisory agencies at the foreign financial instrument exchange that are responsible for regulating the security applying for listing.

③ Details oftrust asset investments (specific asset details)

In the column titled “details oftrust asset investments,” please describe the classes of assets held in the issue applying forinitial listing. In the column titled “Similar specific asset,” please indicate which of the specific assets prescribed in Article 3 of the Ordinances of the Enforcement of the Investment Trust Act are similar to the assets held in the issue applying for initial listing.

In the column titled “Investment ratio,” please indicate the percentage of the invested amount of the total net assets.

④ Falling under the definition of a foreign investment trust

Please explain why the security applying for listing falls within the scope of the definition of a foreign investment trust prescribed in Article2, Paragraph 22 of the Investment Trust Act. In lieu of an explanation, attaching a legal opinion prepared by an attorney at law will also suffice.

⑤ Beneficiary certificates issued and outstanding as of the listing application date

If no trusts are created as of the listing application date, please indicate the number of trusts that are initially expected.

2. Others

(1)Audit opinion (financial statements related to the listing application issue)

(i)In the column titled “Names of current public certified accountants or name of audit corporation,” please describe the names of the public certified accountants or the name of the audit corporation with which you have entered into an agreement as of the listing application date.

(ii)If any audit has been conducted in accordance with the Act for any accounting period ended in the twoyearspreceding the listing application date, please enter the audit opinion given in the audit report or interim audit report.

(iii)If audit opinion has been given as mentioned in (i),please state this fact in lieu of a summary and explain the reason.