Information processing method, program, and information processing device

Abstract

To further distribute a stock acquisition right or a stock issued by exercise of a stock acquisition right.SOLUTION: An information processing method includes an information processing device performing: association of each user with a stock community capable of buying / selling a stock of an unlisted organization; correspondence between each user and the user's stock acquisition right of an organization; exercise processing relating to exercise of the stock acquisition right; transaction processing of obtaining from a processing device used by a first user a purchase request of at least part of stocks which are issued based on a second user's stock acquisition right of an organization, and / or obtaining from a processing device used by the second user a sale request of at least part of stocks which are issued based on the stock acquisition right; and performing, when sales transaction relating to the at least part of stocks is concluded, transfer processing relating to transfer of the stock after the exercise from the second user to first user.SELECTED DRAWING: Figure 9

Description

[Technical Field]

[0001] The disclosed technology relates to an information processing method, a program, and an information processing device. [Background technology]

[0002] Conventionally, there have been systems for trading unlisted stocks. For example, a computer that raises funds through stock sales and third-party allocation (e.g., Patent Document 1) and an unlisted stock distribution system that matches sellers and buyers of unlisted stocks (e.g., Patent Document 2) are known. [Prior art documents] [Patent documents]

[0003] [Patent Document 1] Japanese Patent Application Laid-Open No. 2002-169961 [Patent Document 2] Japanese Patent Application Laid-Open No. 2002-251540 Summary of the Invention [Problem to be solved by the invention]

[0004] In recent years, there has been an increase in the issuance of stock acquisition rights as compensation to employees, etc. However, even if employees who have acquired stock acquisition rights try to transfer them to others, it has not been easy to circulate the stock acquisition rights because there is almost no secondary market for stock acquisition rights. However, as mentioned above, given the current situation in which the granting of stock acquisition rights has become commonplace, there are issues regarding the liquidity of stock acquisition rights.

[0005] Therefore, the disclosed technology aims to provide a new mechanism for increasing the liquidity of stock acquisition rights or shares issued upon the exercise of stock acquisition rights. [Means for solving the problem]

[0006] In one embodiment of the disclosed information processing method, an information processing device associates each user with a shareholder community that can buy and sell shares of an unlisted organization; obtains a purchase request for stock acquisition rights of the organization owned by a second user from a processing device used by a first user among the users, and / or obtains a sale request for the stock acquisition rights from a processing device used by the second user, and performs processing related to the transaction of the stock acquisition rights; when a purchase and sale transaction of the stock acquisition rights between the first user and the second user is concluded, performs exercise processing related to the exercise of the stock acquisition rights; and performs transfer processing related to the transfer of the shares from the second user to the first user after the rights are exercised. [Effects of the Invention]

[0007] The disclosed technology can provide a new mechanism for increasing the liquidity of stock acquisition rights or shares issued through the exercise of stock acquisition rights. [Brief explanation of the drawings]

[0008] [Figure 1] FIG. 1 is a diagram illustrating an example of a configuration of an information processing system according to an embodiment. [Figure 2] FIG. 1 is a diagram illustrating an example of an outline of a distribution service for stock acquisition rights according to an embodiment. [Figure 3] FIG. 2 is a block diagram illustrating an example of a server according to the first embodiment. [Figure 4] FIG. 10 is a diagram illustrating an example of human resource information of a user according to the first embodiment. [Figure 5] FIG. 2 is a diagram showing an example of stock acquisition right information relating to stock acquisition rights according to the first embodiment. [Figure 6] FIG. 4 is a diagram illustrating an example of community information according to the first embodiment. [Figure 7] FIG. 10 is a diagram illustrating an example of window information according to the first embodiment. [Figure 8] FIG. 1 is a diagram illustrating an example of a processing apparatus according to a first embodiment. [Figure 9]1 is a flowchart showing an example of processing related to buying and selling transactions of stock acquisition rights according to the first embodiment. [Figure 10] FIG. 10 is a diagram showing an example of screen transition regarding a preliminary questionnaire according to the first embodiment. [Figure 11] FIG. 10 is a diagram illustrating an example of transition regarding a purchase offer according to the first embodiment. [Figure 12] FIG. 10 is a diagram showing an example of screen transitions related to a prospective purchaser according to the first embodiment. [Figure 13] 10 is a flowchart showing an example of processing related to buying and selling transactions of stock acquisition rights according to a second embodiment. DETAILED DESCRIPTION OF THE INVENTION

[0009] Preferred embodiments of the present disclosure will be described with reference to the accompanying drawings, in which the same reference numerals denote the same or similar configurations.

[0010] [Embodiment] <System configuration> 1 is a diagram showing an example of the configuration of an information processing system 1 according to an embodiment of the present disclosure. As shown in FIG. 1, the information processing system 1 includes a server 10 and one or more user processing devices 20A, 20B, and 20C. Hereinafter, when there is no need to distinguish between the processing devices, they will be referred to as processing devices 20. For example, the information processing system 1 according to the embodiment constitutes a system that manages stock acquisition rights, and as a specific example, constitutes a system that includes processing to increase the liquidity of stock acquisition rights or shares issued upon the exercise of stock acquisition rights.

[0011] Stock acquisition rights are rights to acquire shares of a corporation at a predetermined price and under predetermined conditions. A user (e.g., an employee) who holds stock acquisition rights can exercise his or her rights to acquire shares at a predetermined exercise price. The corporation that grants (issues) stock acquisition rights will issue new shares or issue treasury stock to the user regardless of the stock price at the time of exercise. Note that, unless it deviates from the context, the term "user" may include at least one of the following: a company's directors, employees, external collaborators, stock acquisition rights holders, system administrators, and stock acquisition rights management office.

[0012] Among stock acquisition rights, stock options are granted by a company to its employees, executives, etc. as compensation (incentives). In most cases, various restrictive conditions are imposed on users before they can exercise their stock acquisition rights. For example, in the case of stock options, restrictive conditions are set, such as listing conditions, such as the issuing company being listed on a stock exchange, employment conditions, such as whether the user is employed by the issuing company, vesting conditions, which allow the stock acquisition rights to be exercised in stages depending on the length of employment or the length of time the stock acquisition rights are held, and the period during which the rights can be exercised. Below, an overview of each component of the information processing system 1 that manages stock acquisition rights is explained. The listing conditions may also include acquisition conditions for acquisition through M&A.

[0013] The server 10 and the processing device 20 can transmit and receive data to and from each other via a network N. The server 10 may be configured with a plurality of processing devices, and the number of processing devices 20 may be any number.

[0014] The server 10 is an information processing device constituting the disclosed system, and manages various data and supports user information management. For example, the server 10 manages user personnel information, information related to stock acquisition rights, information on communities including users participating in distribution services for each organization (e.g., company) that issues stock acquisition rights, information related to stock acquisition rights transactions, etc.

[0015] The processing device 20 uses a web browser or an application (app) to log in to a distribution service for stock acquisition rights or shares issued by exercising stock acquisition rights provided by the server 10, and transmits a purchase request or a sale request for stock acquisition rights or shares issued by exercising stock acquisition rights to the server 10. The processing device 20 may also use a user interface to accept settings of desired purchase conditions for stock acquisition rights or shares issued by exercising stock acquisition rights, or settings of desired sale conditions for stock acquisition rights or shares issued by exercising stock acquisition rights.

[0016] For example, the processing device 20 is an information processing device used by each user who receives a distribution service (hereinafter also referred to as "the service") for stock acquisition rights or shares issued by the exercise of stock acquisition rights permitted by an organization that issues the stock acquisition rights.

[0017] Furthermore, an application program (app) for using the present service provided by the server 10 may be installed in the processing device 20. This app causes the processing device 20 to execute part of the processing related to the distribution of stock acquisition rights or shares issued upon the exercise of stock acquisition rights, as disclosed in the embodiments described below, in the service provided by the server 10. By executing this app, the processing device 20 accesses the server 10 and transmits and receives information used to execute the app related to the stock acquisition rights.

[0018] <Distribution Service Overview> 2 is a diagram showing an example of an outline of a distribution service for stock acquisition rights or shares issued by exercising stock acquisition rights according to one embodiment. In the example shown in Fig. 2, a company (an example of an organization) that has issued stock acquisition rights provides information for establishing a distribution platform to an operating company that operates a distribution service for stock acquisition rights or shares issued by exercising stock acquisition rights.

[0019] If an operating company is eligible for a community system that allows trading of unlisted stocks, it will form a community based on information provided by the issuing company. Here, we will explain one type of community, the shareholder community. A shareholder community system is a system established, for example, by a securities company for each stock, and enables investment solicitation, information provision, trading, and fundraising for that stock within the community. There are, for example, two types of operating companies: companies that have a license to form a shareholder community, and companies that cannot form a shareholder community or do not hold a securities trading license.

[0020] For example, if an operating company organizes a shareholder community, it can invite shareholders, executives, employees, family members, investors, etc. of the issuing company to join the shareholder community. Investors, etc. can also propose to join the shareholder community by self-declaration if they meet certain conditions. The operating company can provide the shareholder community with information on the trading period for buying and selling stock acquisition rights or shares issued by exercising stock acquisition rights, and can also solicit investments.

[0021] In a shareholder community, users who belong to the shareholder community buy and sell stock acquisition rights or shares issued by exercising stock acquisition rights. If the operating company is a securities company or the like and holds a license to form a shareholder community, it can form the above-mentioned shareholder community and process buying and selling transactions within the shareholder community.

[0022] On the other hand, if the operating company does not hold a license to organize a shareholder community, it will not process sales transactions within the community but will have users complete sales transactions directly outside the community. In this case, the operating company will publish sales requests including desired sales conditions for stock acquisition rights or shares issued by the exercise of stock acquisition rights, and purchase requests including desired purchase conditions, and users within the community who see these requests will contact the user who made the request directly and negotiate transactions regarding the stock acquisition rights or shares issued by the exercise of stock acquisition rights.

[0023] The operating company acquires shares by exercising the stock acquisition rights for which a transaction has been concluded, processes transfers from selling users to purchasing users, updates the shareholder register, and executes processes to simplify the work of users who have transacted and issuing companies. Below, a case in which the operating company organizes a shareholder community will be described as Example 1, and a case in which the operating company does not organize a shareholder community will be described as Example 2. First, each configuration of the information processing system 1 that enables services related to the distribution of stock acquisition rights or shares issued by exercising stock acquisition rights in Example 1 will be described in detail.

[0024] [Example 1] <Server configuration> 3 is a block diagram illustrating an example of a server 10 according to the first embodiment of the present disclosure. The server 10 includes one or more processors (e.g., CPUs) 110, one or more network communication interfaces 120, a storage device (storage unit) 130, and one or more communication buses 170 for interconnecting these components.

[0025] The server 10 may optionally include a user interface 150. The user interface 150 includes a display and an input device (such as a keyboard and / or a mouse or some other pointing device).

[0026] The storage device 130 may be, for example, a high-speed random access memory (main storage device) such as a DRAM, an SRAM, or other random access solid-state storage device. Alternatively, the storage device 130 may be a non-volatile memory (auxiliary storage device) such as one or more magnetic disk storage devices, optical disk storage devices, flash memory devices, or other non-volatile solid-state storage devices. Alternatively, the storage device 130 may be a non-transitory computer-readable recording medium that stores programs and the like. Alternatively, the storage device 130 may be either a main storage device (memory) or an auxiliary storage device (storage), or may include both.

[0027] The storage device 130 stores data, programs, etc. used by the information processing system 1. For example, the storage device 130 stores human resource information (employee information) of users (employees, etc.) belonging to an organization, stock acquisition right information related to stock acquisition rights, community information that associates users participating in a community with the community, and transaction information that sets a transaction period, etc. for the community. The storage device 130 may cooperate with another database to acquire and store information related to each contract. The human resource information, stock acquisition right information, community information, and transaction information will be described later with reference to FIGS. 4 to 7.

[0028] Another example of storage device 130 may be one or more storage devices located remotely from processor 110. In one embodiment, storage device 130 stores programs, modules, and data structures, or a subset thereof, that are executed by processor 110.

[0029] The processor 110 executes a program stored in the storage device 130, for example, by executing each instruction included in the program, thereby constituting a service control unit 111 related to the distribution of stock acquisition rights.

[0030] The service control unit 111 controls the present service disclosed in the embodiment. For example, the service control unit 111 performs various processes in response to requests to sell and / or purchase stock acquisition rights from each processing device 20. As a specific example, the service control unit 111 may perform pre-processing for providing distribution services, processing related to the buying and selling of stock acquisition rights in response to each request from the processing device 20, and processing after the transaction is completed.

[0031] Furthermore, the service control unit 111 has a pre-processing unit 112, a transaction processing unit 113, an exercise processing unit 114, a transfer processing unit 115, and a money processing unit 116 in order to control the present service disclosed in Example 1. Below, the processes that can be provided by the service control unit 111 will be explained in order.

[0032] Pre-processing The pre-processing unit 112 performs the following processes: (1-1) screening of issuing companies, (1-2) data registration of issuing companies, setting of trading periods (hereinafter also referred to as "windows"), and (1-3) registration of participants.

[0033] (1-1) Screening process for issuing companies The pre-processing unit 112 acquires a shareholder community formation request and corporate screening information via the network communication interface 120 from the processing unit 20 used by a person in charge of the issuing company's secretariat.

[0034] The pre-processing unit 112 performs a legal entity review of the issuing company in response to a request to form a shareholder community. For example, the pre-processing unit 112 reviews the existence of the issuing company and the business conducted by the issuing company. Specifically, the pre-processing unit 112 reviews whether the issuing company's business is feasible, confirms its business plan and progress, and verifies that the issuing company has no ties to anti-social forces, thereby verifying that the business is actually being conducted. The pre-processing unit 112 notifies the person who requested the formation of the shareholder community of the review results. Specifically, the pre-processing unit 112 may send an email containing the review results to the person's email address, etc.

[0035] If the pre-processing unit 112 approves the review, it organizes a shareholder community. For example, it creates a web page that can be viewed by predetermined users. The web page includes the announcement content, the issuing companies that will trade the stock acquisition rights, and so on.

[0036] The pre-processing unit 112 also issues an account for the issuing company's administrative office to log in to the service. The pre-processing unit 112 may issue the account when receiving a composition request from the issuing company.

[0037] (1-2) Registering issuing company data and setting the transaction period The pre-processing unit 112 acquires a login request from the issuing company's administrative office and performs the login process. After the login process, the pre-processing unit 112 acquires employee information belonging to the issuing company, stock acquisition right information for managing issued stock acquisition rights, existing shareholder information, and stock registry information from the processing device 20 used by the person in charge of the issuing company's administrative office, and registers the information in the storage device 130. This enables the operating company to identify existing shareholders and users who hold stock acquisition rights.

[0038] The pre-processing unit 112 sets a window. For example, window setting items include the window name, the start date of trading, the end date of trading, information about the shareholder community, and the date of the next board meeting. The window setting items may also include the buying and selling price or the range of buying and selling prices of the shares related to the stock acquisition rights to be traded. The buying and selling price may be determined by auction. To prevent a discrepancy between the buying and selling price of the shares related to the stock acquisition rights and the corporate value, the window is preferably set after the issuing company has raised funds.

[0039] The pre-processing unit 112 receives designations of potential sellers and / or potential buyers who can participate in the window from the secretariat's processing device 20, designates the potential sellers and / or potential buyers, and grants these candidates authority to trade in the window. The pre-processing unit 112 may also grant authority to candidates within a predetermined group by sorting or filtering by the candidate's year of joining the company, job title, when the stock acquisition rights were granted, etc.

[0040] The pre-processing unit 112 may set restrictions (such as upper limit of holdings) on trading of stock acquisition rights for users (eg, large holders) within the shareholder community or for predetermined groups (eg, external investors).

[0041] When the above-mentioned registration process and setting process are completed, the pre-processing unit 112 notifies the person in charge of the secretariat of the completion. For example, the pre-processing unit 112 may send an email or the like containing a registration completion report to the email address or the like of the person in charge notified in advance. For example, the email may include the details of the registered information and a URL (Uniform Resource Locator) that enables access to the window. This enables the secretariat to check the registered details of each information, the settings of the window, etc.

[0042] (1-3) Participant registration process (1-3-1) If the investor is not registered For example, a user may browse a web page that exposes the shareholder community of an issuing company. If the user is not registered as an investor by the operating company and their participation application has not been accepted, the information that the user can view is often limited.

[0043] The user uses the processing device 20 to input necessary information for investor registration, such as personal information registration in terms of the Financial Instruments and Exchange Act, conformity confirmation, and identity verification (eKYC (electronic Know Your Customer)) in terms of the Act on Prevention of Transfer of Criminal Proceeds, and the processing device 20 transmits a registration request together with the input information to the server 10. Note that the application items for investor registration may differ depending on whether the investor is an individual or a corporation.

[0044] When the pre-processing unit 112 receives a registration request from the investor processing unit 20 along with application items related to investor registration, it determines whether or not registration as an investor and participation in the shareholder community are appropriate based on the application items. The pre-processing unit 112 notifies the investor processing unit 20 of the screening results of the participation application. Users whose participation has been approved can refer to the stock compensation information they hold by transitioning to their own page (My Page). The stock compensation information includes information on stock acquisition rights.

[0045] (1-3-2) If you are a registered investor but have not yet joined the shareholder community of the issuing company For example, a user may view the shareholder community page of the issuing company mentioned above and apply to join this shareholder community.

[0046] The pre-processing unit 112 receives a request from a registered user to join the shareholder community. The pre-processing unit 112 inquires of the issuing company's administrative office or operating company as to whether to approve the participation of the user who made the participation request. The pre-processing unit 112 receives the inquiry result of approval or denial of the participation request from the administrative office's processing device 20.

[0047] If the pre-processing unit 112 receives approval from the issuing company's administrative office, the operating company conducts an examination of the user who made the participation request to join the shareholder community. For example, the pre-processing unit 112 examines whether the user meets predetermined conditions, such as whether the user holds stock related to the issuing company. The pre-processing unit 112 transmits the examination results to the processing device 20 of the user who made the participation request.

[0048] The pre-processing unit 112 allows users who pass the screening to participate in the shareholder community. For example, the pre-processing unit 112 allows approved users to view the business progress and past trading performance of the issuing company.

[0049] (1-3-3) Registered as an investor and already participating in the issuing company's shareholder community For example, a user may view the shareholder community page of an issuing company and check the start date of a window held within the shareholder community, etc. The pre-processing unit 112 allows a user who has already joined the shareholder community to view the web page for participants of the shareholder community.

[0050] Transaction Processing The transaction processing unit 113 performs (1-4) window processing, and the transfer processing unit 115 performs (1-5) transfer approval processing. (1-4) Window processing When the window opens, in order to register orders for stock acquisition rights, the transaction processing unit 113 accepts the setting of the number of shares and price desired for sale or purchase from potential sellers and potential buyers within the shareholder community. In this case, the issuing company's administrative office may specify the upper and lower limits of the reference stock price range for the transaction, and the price may be set within that range.

[0051] The secretariat may also specify a limit price for the transaction. The price may be set in an auction format, or may be set using a known algorithm. Only in the case of selling, the transaction processing unit 113 may accept input from the potential seller as to whether raw shares or stock acquisition rights are to be sold, and if stock acquisition rights, when and how many shares of the granted stock acquisition rights are to be sold.

[0052] The transaction processing unit 113 transmits the pre-contract document and the order request / pledge to the transaction party's processing device 20 for approval.

[0053] The transaction processing unit 113 performs consent procedures to have the purchaser agree to have the operating company perform the following on their behalf. For example, the transaction processing unit 113 has the purchaser review each consent document and check a checkbox indicating their consent. Transfer request procedure Procedures for requesting changes to the shareholder register

[0054] The transaction processing unit 113 performs consent procedures to have the seller agree to the following: For example, the transaction processing unit 113 has the seller review each consent document and check a check box indicating that the seller agrees to the terms. · I agree not to transfer my shares to anyone else. · Agree to have the operating company handle the transfer request procedures and shareholder register rewrite procedures on your behalf.

[0055] Once the various consent procedures are completed, the transaction processing unit 113 performs a confirmation process for the order details. For example, the transaction processing unit 113 confirms the suitability of the investor, and whether the desired purchase price and desired sale price are within a price range. If there are no problems with the order details, the transaction processing unit 113 receives the sell request and the buy request.

[0056] The transaction processing unit 113 may match a prospective buyer with a prospective seller. For example, the transaction processing unit 113 may calculate the degree of agreement between the purchase conditions of the prospective buyer and the sale conditions of the prospective seller, and perform matching based on the calculated degree of agreement (similarity).

[0057] For example, when the transaction processing unit 113 receives an order for a sale request and a purchase request, the operating company's secretariat may look at the request contents and pair users who are suitable for matching, or the matching may be performed automatically based on the similarity. Automatic matching requires a proprietary trading system (PTS) license. After matching, the transaction processing unit 113 notifies the processing devices 20 of the prospective buyer and seller that matching has been achieved.

[0058] (1-5) Transfer approval process If matching is achieved, the transfer processing unit 115 requests the issuing company for transfer approval on behalf of the investor. If the transfer approval request is not approved within two weeks, it will be deemed approved, so the transfer processing unit 115 must respond within the deadline.

[0059] When there is a request for transfer approval, the transfer processing unit 115 performs processing so that the transfer is approved by the board of directors. For example, the transfer processing unit 115 obtains documents that are set up so that the board of directors can decide to approve the transfer, and transmits these documents to the relevant parties.

[0060] The transfer processing unit 115 may approve the transfer of the stock acquisition rights to be traded even if the stock acquisition rights to be traded have not yet been exercised. If the directors pass a resolution and the transfer is approved, the transfer processing unit 115 executes the subsequent processing, and if the approval is rejected, the transfer processing unit 115 cancels the agreement.

[0061] <Rights Exercise Processing> The exercise processing unit 114 (1-6) performs the exercise processing for the stock acquisition rights. (1-6) Exercise procedures for stock acquisition rights If the stocks to be sold are stock acquisition rights, the exercise processing unit 114 notifies the seller that the stock acquisition rights are being sold. The seller then applies for the exercise of the stock acquisition rights to be sold. For example, the seller's processing device 20, in response to the seller's operation, applies to the server 10 to exercise the stock acquisition rights. Here, the seller can change the stock acquisition rights set at the time of the sale request. For example, it may be possible to change from stock acquisition rights acquired in the first vesting condition to stock acquisition rights acquired in the second vesting condition.

[0062] The exercise processing unit 114 confirms the exercise amount of the stock acquisition rights. For example, the exercise processing unit 114 notifies the seller of the exercise amount and performs processing to have the seller confirm whether the amount is correct. When an application is made to exercise the stock acquisition rights, the exercise processing unit 114 notifies the seller of transfer information including the exercise amount, transfer destination (e.g., the transfer destination of the operating company), and transfer deadline so that this information is displayed. The seller makes the specified transfer by the transfer deadline. If the specified transfer is not made by the transfer deadline, the exercise processing unit 114 may cancel the contract.

[0063] After confirming the transfer amount, the exercise processing unit 114 approves the exercise application and performs operations related to the exercise of rights. For example, the exercise processing unit 114 creates a stock delivery instruction, updates the stock acquisition rights register, and handles registration.

[0064] <<Processing of money from the purchaser>> The money processing unit 116 (1-7) performs money processing. (1-7) Money handling The financial processing unit 116 notifies the purchaser of transfer information including the purchase price, the transfer destination (e.g., the transfer destination of the operating company), and the transfer deadline. When the purchaser notifies the server 10 that the transfer is complete, the financial processing unit 116 checks whether the deposit amount is the same as the amount instructed to be transferred. The financial processing unit 116 may subtract the system usage fee from the deposit amount. The financial processing unit 116 transfers the amount remaining after deducting the system usage fee from the deposit amount to the seller's account. Note that if the operating company advances the exercise amount, the exercise amount is further subtracted from the deposit amount and transferred to the seller's account.

[0065] <Transfer Processing> The transfer processing unit 115 performs the transfer process (1-8). (1-8) Transfer Processing The transfer processing unit 115 updates the shareholder registry information on the system. For example, the transfer processing unit 115 updates the owner of shares acquired based on the exercise of rights from the seller to the purchaser. Furthermore, if a shareholder registry administrator has been selected, the transfer processing unit 115 notifies the shareholder registry administrator of the shareholder registry information updated on the system. For example, the transfer processing unit 115 attaches a file of the shareholder registry information and sends it to the shareholder registry administrator's email address using secure communication.

[0066] The transfer processing unit 115 also creates a transaction report regarding the stock acquisition rights. The transfer processing unit 115 notifies the created transaction report to the purchaser and seller. The processing devices 20 of the purchaser and seller each receive the transaction report from the server 10.

[0067] "others" When the service control unit 111 receives a request to form a shareholder community, it may automatically perform a review based on application data, etc., obtained at the time of the formation request. The purchase and sale price may also be determined by auction. The service control unit 111 may also output and obtain a pre-questionnaire before setting a window. The pre-questionnaire may include a question to each user asking whether they intend to purchase or sell shares related to stock acquisition rights, allowing the issuing company to identify users who intend to purchase / sell and set a window that includes these users.

[0068] Furthermore, as a post-processing step for a transaction, the transaction processing unit 113 creates a transaction balance report at a frequency specified by the shareholder community system. The transaction processing unit 113 also makes the created transaction balance report available for viewing by investors.

[0069] By summarizing the above processes, the pre-processing unit 112 associates each user, such as an investor, with a shareholder community that can buy and sell shares of unlisted organizations. For example, the pre-processing unit 112 associates each user with the shareholder community by allowing each user invited by the system to join the formed shareholder community or by allowing users who have applied to join to join.

[0070] The transaction processing unit 113 acquires a purchase request for the stock acquisition rights of an organization owned by a prospective seller (second user) from the processing device 20 used by a prospective purchaser (first user) among the users, and / or acquires a sale request for the stock acquisition rights from the processing device 20 used by a prospective seller, and performs transaction processing related to the trading of the stock acquisition rights. For example, the transaction processing unit 113 acquires a purchase request from a prospective purchaser along with the desired conditions for purchasing the stock acquisition rights, or acquires a sale request from a prospective seller along with the desired conditions for selling the stock acquisition rights.

[0071] When a purchase and sale transaction of stock acquisition rights between a prospective buyer and a prospective seller is concluded, the exercise processing unit 114 performs exercise processing related to the exercise of the stock acquisition rights. The exercise processing unit 114 identifies the amount required to exercise the rights, obtains the necessary documents, and, once the necessary documents and amount are prepared, requests the issuing company to issue shares at the exercise price.

[0072] The transfer processing unit 115 performs transfer processing related to the transfer of shares after exercise from a seller to a buyer. For example, the transfer processing unit 115 performs paperwork procedures related to the transfer and updates the shareholder register.

[0073] The above process provides a new mechanism for increasing the liquidity of stock acquisition rights or shares issued through the exercise of stock acquisition rights. This makes it possible to provide a secondary market for, for example, stock options. Stock acquisition rights holders can acquire cash based on the stock acquisition rights at their own convenience, making it a viable exit strategy. Furthermore, because issuing companies can raise funds through the exercise of stock acquisition rights by stock acquisition rights holders, it can be considered a viable fundraising strategy.

[0074] The transfer processor 115 may also update the organization's shareholder registry information. For example, if the ownership of a stock changes, the transfer processor 115 may update the shareholder registry, changing the number of shares purchased from the seller to the buyer after a trade is completed. The updated shareholder registry information may be sent to a shareholder registry administrator, if one is available.

[0075] According to the above process, by carrying out post-exercise procedures through the system, it is possible to reduce the burden on issuing companies and other parties, and by promoting the use of this system, it is possible to expand the secondary market for stock acquisition rights.

[0076] The transaction processing unit 113 may also match purchase requests with sale requests. The transaction processing unit 113 may extract potential sellers and potential buyers whose desired purchase conditions acquired in association with the purchase request match those whose desired sale conditions acquired in association with the sale request. The transaction processing unit 113 may also determine that there is a match if the differences in the stock prices and numbers between the desired purchase conditions and the desired sale conditions are within a predetermined range.

[0077] According to the above process, the matching process can be performed automatically, which reduces the burden on the operating company and the like in determining whether the desired conditions are met.

[0078] Furthermore, as described above, the exercise processing unit 114 may also exercise the portion of the stock acquisition rights that are the subject of trading (number of units or number of shares). For example, only the number of stock acquisition rights granted in the nth installment according to the vesting conditions may be subject to exercise. The stock acquisition rights to be exercised may be designated by the seller.

[0079] With the above processing, there are cases where a seller wants to sell only the portion of the stock acquisition rights that he or she desires, and there are also cases where a purchaser wants to hold shares corresponding to only a portion of the stock acquisition rights, and in such cases, it is possible to create a distribution system that is highly convenient for each user.

[0080] As described above, the financial processing unit 116 also performs financial processing, including a payment process to receive the purchase amount transferred from the purchaser when a sales transaction is concluded. The purchaser transfers an amount based on the sales price to a designated account of the operating company. As part of the payment process, the financial processing unit 116 determines whether the amount transferred to the designated account matches the transfer amount requested from the purchaser.

[0081] Through the above process, rather than monetary transactions occurring between the parties, the operating company acts as an escrow, thereby ensuring the reliability of the distribution system.

[0082] Furthermore, the transfer processing unit 115 may also update the organization's shareholder registry information after the receipt processing by the financial processing unit 116. For example, after confirming that a predetermined amount has been transferred, the transfer processing unit 115 performs procedures to transfer the shares based on the exercised stock acquisition rights from the seller to the purchaser, and updates the number of shares of the purchaser and seller listed in the shareholder registry information. As a specific example, the transfer processing unit 115 subtracts the number of shares sold from the number of shares of the seller registered in the shareholder registry information, and adds the subtracted number to the number of shares of the purchaser.

[0083] The above process makes it possible to process paperwork related to the transfer of shares on the system, and to create a distribution system for stock acquisition rights that is highly convenient for issuing companies.

[0084] Furthermore, as described above, the financial processing unit 116 also performs a deposit process to deposit money into the seller. For example, after processing to receive money from the purchaser, the financial processing unit 116 executes a process to transfer the amount minus necessary expenses to the designated account of the seller. Note that the financial processing unit 116 may also execute a process to transfer the amount minus necessary expenses to the designated account of the seller after processing to receive money from the purchaser and after the completion of the transaction of shares based on the stock acquisition rights.

[0085] Through the above process, rather than monetary transactions occurring between the parties, the operating company acts as an escrow, thereby ensuring the reliability of the distribution system.

[0086] The deposit process may include deducting the service fee for the stock acquisition rights from the purchase amount received from the purchaser. For example, the financial processing unit 116 may deduct from the purchase amount an expense of several percent to several tens of percent of the purchase amount as the service fee.

[0087] The above process brings benefits to the operating company, and each party can enjoy benefits such as profits for the operating company, fundraising for the issuing company, and circulation of stock acquisition rights between users.

[0088] The deposit process may include subtracting the amount required to exercise the stock acquisition rights from the purchase price. For example, if the operating company advances the amount required to exercise the rights (exercise price), the advance fee may be deducted from the purchase price.

[0089] By carrying out the above process, even if the seller is unable to prepare the exercise amount, the operating company can advance the exercise amount, and the operating company can recover the advance payment costs from the purchase price.

[0090] (Examples of each data) Next, examples of each data stored in the storage device 130 of the server 10 will be described with reference to FIGS. 4 to 7. FIG. 4 is a diagram showing an example of human resource information (employee information) of a user according to the first embodiment. FIG. 5 is a diagram showing an example of stock acquisition right information related to stock acquisition rights according to the first embodiment. The information included in FIGS. 4 and 5 may be managed in association with a uniquely identifiable identifier, either individually or in combination. FIG. 6 is a diagram showing an example of community information according to the first embodiment. FIG. 7 is a diagram showing an example of window information according to the first embodiment.

[0091] The human resources information shown in Figure 4 includes data / information such as name, contact information, department, position, asset information, and status. Name includes the user's name information, and contact information includes information such as phone number, email address, and social media account. Department includes organization name and organization identification information. Asset information includes identification information (also called asset ID) that identifies assets such as stock acquisition rights. Status relates to the user's employment status, including currently employed, on leave, and retired.

[0092] In addition, the human resources information may also include various other information such as the project to which the user belongs, the qualifications held, and evaluations.

[0093] 5 includes data / information such as constraints on the stock acquisition rights, held stock acquisition rights, held shares, etc., associated with an asset ID. For example, the asset ID is identification information that identifies the asset information, and indicates the information included in the asset information shown in FIG.

[0094] The constraints on stock acquisition rights include the various conditions of the exercise conditions, the exercise period, the listing condition, the tenure condition, and the performance condition. At least one of the listing condition, the tenure condition, and the performance condition may be included in the exercise conditions. Note that the vesting condition may also be included in the exercise conditions. The held stock acquisition rights include the number of stock acquisition rights held by the user or the number of target shares. The held shares include the total number of shares acquired after the exercise of the stock acquisition rights.

[0095] In addition, the stock acquisition right information may include information such as the grant date of the stock acquisition rights, the exercise date and / or stock sale date, the allocation date or expiration date, and the status of the stock acquisition rights held (e.g., unexercised, exercised, waived, expired or cancelled), which may be included in the stock acquisition right register.

[0096] 6 includes organizations and participating users associated with a community ID. For example, the community ID includes identification information for identifying a community such as a shareholder community.

[0097] The organization may be an organization that has requested the formation of a community, such as an unlisted company, or may be a listed company that issues stock acquisition rights. The participating users may be users who have been approved to join the community, such as executives, executive relatives, employees, family members of employees, or investors. Users who are currently applying to join and / or users who have invited others to join may also be included in the community information. Each user and community are registered in association with each other using the community information shown in FIG. 6.

[0098] 7 includes a transaction name (window name), a start date, an end date, a community ID, participating users, etc., associated with a transaction ID (window ID). For example, the transaction ID includes identification information that identifies a window that allows buying and selling transactions.

[0099] The transaction name includes, for example, a name set for the window. The start date and end date include the start date and end date of the period during which trading is possible. The community ID includes the community ID of the community in which the window is set. The participating users include users who have been designated or approved to participate in the window. The window information may also include the next board meeting date, the transfer application request period, or the range of buying and selling prices.

[0100] <Configuration of the processing device> 8 is a diagram illustrating an example of a processing device 20 according to the first embodiment of the present disclosure. For example, the processing device 20 is a device used by a user. The processing device 20 includes one or more processors (e.g., CPUs) 210, one or more network communication interfaces 220, a storage device (storage unit) 230, a user interface 250, and one or more communication buses 270 for interconnecting these components.

[0101] The user interface 250 includes a display 251 and an input device 252 (such as a keyboard and / or a mouse or some other pointing device).

[0102] The storage device 230 may be, for example, a high-speed random access memory (primary storage device) such as a DRAM, an SRAM, or other random access solid-state storage device. The storage device 230 may also be a non-volatile memory (secondary storage device) such as one or more magnetic disk storage devices, optical disk storage devices, flash memory devices, or other non-volatile solid-state storage devices. The storage device 230 may also be a non-transitory computer-readable recording medium. The storage device 230 may be either a primary storage device (memory) or a secondary storage device (storage), or may include both.

[0103] The storage device 230 stores data and programs used by the information processing system 1. For example, the storage device 230 stores application programs for the processing device 20 in the information processing system 1.

[0104] The processor 210 executes a program stored in the storage device 230 to configure a service processing unit 211. The service processing unit 211 includes, for example, a web browser and an email application. The web browser enables browsing of web pages provided by the server 10. Furthermore, by executing an installed application for the user terminal, browsing of web pages providing the above-mentioned services becomes possible. The service processing unit 211 has a communication control unit 212, a display control unit 213, and an operation control unit 214 to receive the provided services.

[0105] The communication control unit 212 acquires each screen information related to the shareholder community, such as each screen related to a window, transmitted from the server 10. The communication control unit 212 also outputs to the server 10 information selected and set using each screen, a predetermined request, work information related to the service, and the like.

[0106] The display control unit 213 controls the display 251 to display various screens (e.g., Figures 10 to 12) for conducting buying and selling transactions of stock acquisition rights for the service in question, based on the screen information acquired by the communication control unit 212.

[0107] The operation control unit 214 accepts user operations on UI components (e.g., buttons, etc.) displayed on each screen, and transmits operation information to an application of the processing device 20 or outputs the operation information to the server 10. For example, when trading stock acquisition rights, the operation control unit 214 outputs information such as desired selling conditions or desired purchasing conditions set by the user to the server 10, and outputs various document data (agreed or signed) to be submitted for trading of stock acquisition rights to the server 10.

[0108] The communication control unit 212 transmits each piece of operation information received by the operation control unit 214 to the server 10 via the network communication interface 220 .

[0109] The display control unit 213 controls screen transitions based on each piece of operation information received by the operation control unit 214.

[0110] <Operation description> Next, a description will be given of each operation of the information processing system 1. Fig. 9 is a flowchart showing an example of processing related to the buying and selling of stock acquisition rights according to Example 1. In the example shown in Fig. 9, processing is performed in cooperation with a processing device 20 used by an issuing company or a user and a server 10 that provides the service.

[0111] In step S102, the pre-processing unit 112 of the server 10 receives a shareholder community formation request from the company issuing the stock acquisition rights and performs a screening process for the issuing company. For example, the pre-processing unit 112 executes the screening process (1-1) described above. If the screening is approved, the screening result is notified to the secretariat that made the composition request, and the process proceeds to step S104. If the screening is rejected, the screening result is notified to the secretariat that made the composition request, and the process ends.

[0112] In step S104, if the pre-processing unit 112 of the server 10 approves the examination, it registers the shareholder list etc. obtained from the issuing company and performs window setting processing. For example, the pre-processing unit 112 executes the above-mentioned (1-2) issuing company data registration processing and trading period (window) setting processing.

[0113] In step S106, when the start date of the set window arrives, the transaction processing unit 113 of the server 10 starts buying and selling transactions for the stock acquisition rights between the users set in the window. For example, the transaction processing unit 113 executes the window processing (1-4) described above. The transaction processing unit 113 may also match purchase requests for stock acquisition rights with sale requests for stock acquisition rights.

[0114] In step S108, the transaction processing unit 113 of the server 10 determines whether a buying and selling transaction is concluded between the users. For example, the transaction processing unit 113 executes the window processing (1-4) described above, matches the buying request with the selling request described above, and determines that the transaction is concluded if both requests match. If the buying and selling transaction is concluded (step S108-YES), the process proceeds to step S110. If the buying and selling transaction is not concluded (step S108-NO), the process returns to step S108, and determines whether a transaction will be concluded before the end date of the window arrives.

[0115] In step S110, when a sale transaction regarding the stock acquisition rights is concluded, the transfer processing unit 115 of the server 10 performs an approval process regarding the transfer. For example, the transfer processing unit 115 executes the above-mentioned (1-6) transfer approval process.

[0116] In step S112, the exercise processing unit 114 of the server 10 performs an exercise process for acquiring shares by paying the exercise amount for the stock acquisition rights of the seller. For example, the exercise processing unit 114 executes the exercise process for the stock acquisition rights (1-6) described above.

[0117] In step S114, the cash processing unit 116 of the server 10 performs the cash processing related to the buying and selling transaction. For example, the cash processing unit 116 executes the cash processing (1-7) described above.

[0118] In step S116, the transfer processing unit 115 of the server 10 performs procedures such as transferring the acquired shares from the seller to the purchaser when the stock acquisition rights are exercised. For example, the transfer processing unit 115 executes the transfer process (1-8) described above.

[0119] The above process provides a new mechanism for increasing the liquidity of stock acquisition rights or shares issued upon the exercise of stock acquisition rights. This makes it possible to provide a secondary market for, for example, stock options. Note that the order of the above steps may be reversed as long as there are no contradictions.

[0120] <Variation 1> As an example, pre-matching may be the matching between a seller and a buyer before the stock acquisition rights are exercised, and matching may be the matching after the stock acquisition rights are exercised and the buyer holds the shares.

[0121] More specifically, steps S106 and S108 may be pre-matching, and a new matching process for buying and selling stocks generated by the exercise of stock acquisition rights may be performed between S112 and S114. The matching process for buying and selling stocks may be performed by simply changing the subject of the transactions in steps S106, S108, and S110 from stock acquisition rights to stocks, and therefore a detailed explanation of this process will be omitted.

[0122] The pre-matching may be merely an agreement between the seller and the purchaser to trade shares acquired by exercising the stock acquisition rights held by the seller. In this case, the number and / or price of the shares to be traded may be determined.

[0123] Furthermore, if the pre-matching is canceled by the seller or the buyer, a penalty may be imposed on the user who canceled. More specifically, the cancellation may be penalized by collecting money from the user, or at least a part of the service may be made unavailable.

[0124] <Variation 2> As an example, the pre-matching (S106, S108, and S110) of the above-described Modification 1 may not be performed. In other words, the seller may exercise the stock acquisition rights held by the seller before matching between the seller and the buyer.

[0125] More specifically, the system may be configured so that S106, S110, and S110 are not executed, and the seller may exercise the stock acquisition rights at any timing in S112 to acquire shares, and then sell the acquired shares using the processing of S106 to S110, in which the stock acquisition rights are interpreted as shares after issuance.

[0126] As described above, the first and second modifications have the following configurations. The pre-processing unit 112 associates each user with a shareholder community that can buy and sell shares of unlisted organizations, and also associates each user with stock acquisition rights of the organizations that each user owns.

[0127] The exercise processing unit 114 performs the exercise process for the exercise of the associated stock acquisition rights. The exercise process is as described above.

[0128] The transaction processing unit 113 executes the following: acquiring a purchase request for at least a part of the shares issued based on the stock acquisition rights of the organization owned by the second user from a processing device used by a first user among the users; and / or acquiring a sale request for at least a part of the shares issued based on the stock acquisition rights from a processing device used by the second user, and performing transaction processing for the transaction of at least a part of the shares. The transaction processing unit 113 may also perform pre-matching in Modification 1.

[0129] After a sale transaction for at least a portion of the shares has been concluded, the transfer processing unit 115 performs a transfer process for transferring the shares after exercise from the second user to the first user. The other processes are the same as those in the embodiment.

[0130] <Screen example> Next, an example of each screen displayed on the processing device 20 will be described. In the example shown below, the stock acquisition rights will be explained using stock options (SO) as an example.

[0131] Fig. 10 is a diagram showing an example of screen transitions regarding a pre-questionnaire according to Example 1. A screen D10 shown in Fig. 10 is an example of a screen that the service control unit 111 transmits to the processing device 20 of the user when, for example, the "Sell / Buy" tab on the My Page is operated.

[0132] In the example shown on screen D10, the user can see the date of the next window. In addition, the user can answer a pre-questionnaire about whether or not they intend to sell / purchase stocks in the next window. For example, when the user operates the "Answer" button, screen D12 is displayed. On screen D12, the user is asked to answer about their current intention to sell / purchase. Furthermore, as shown on screen D10, the user can view the preliminary results of other users' pre-questionnaires and can check the transfer agreement template.

[0133] Fig. 11 is a diagram showing an example of transition regarding a purchase offer (purchase request) according to Example 1. Screen D20 shown in Fig. 11 shows the purchaser's My Page, and screen D22 shows the user's My Page. When the user is a prospective purchaser, screen D20 of the My Page displays only a "Purchase Offer" button, but when the user is both a prospective purchaser and a prospective seller, screen D22 of the My Page displays a "View Prospective Purchaser" button and a "Purchase Offer" button related to the stock acquisition rights held by the user.

[0134] When the user operates the "Purchase Offer" button displayed on screen D20 or screen D22, screen D24 is displayed. On screen D24, the user can set desired conditions (purchase conditions) for purchasing the stock related to the stock acquisition rights. For example, the user inputs the desired share price (yen) and the desired number of shares (shares).

[0135] Users can also enter comments about the purchase offer. For example, if the potential buyer has any opinions or requests regarding the transaction, such as difficulty adjusting the stock price, they can enter them. Users can also enter an email address for contact with the potential seller.

[0136] When the "Make a Purchase Offer" button shown on screen D24 is pressed, the step of concluding a contract as shown on screen D22 is proceeded to, and when the "Cancel" button is pressed, the screen may return to the screen shown on screen D20.

[0137] Fig. 12 is a diagram showing an example of screen transitions related to a potential purchaser according to Example 1. A screen D30 shown in Fig. 12 shows the personal pages of the purchaser and seller, and when the "View potential purchaser" button is operated, a screen D32 is displayed.

[0138] Screen D32 shows an example in which a list of potential purchasers is displayed. The user can see the desired share price and number of shares associated with each potential purchaser. Furthermore, when one potential purchaser is selected from among the potential purchasers shown on screen D32, screen D34 is displayed, allowing the user to view details of that potential purchaser. For example, comments entered by the potential purchaser when making a purchase offer are displayed.

[0139] As described above, according to the first embodiment, a new mechanism can be provided that utilizes a shareholder community system to increase the liquidity of stock acquisition rights or shares issued through the exercise of stock acquisition rights. This makes it possible to provide a secondary market for, for example, stock options. Stock acquisition right holders can acquire money based on the stock acquisition rights at their own convenience, which can be considered a means of exit. Furthermore, since issuing companies can raise funds by having stock acquisition right holders exercise their rights, it can be considered a means of fundraising.

[0140] [Example 2] Next, a second embodiment of a distribution service for stock acquisition rights will be described. The difference between the distribution service in the second embodiment and the distribution service in the first embodiment is that the operating company does not hold a license to organize a shareholder community. Therefore, in the second embodiment, matching of buying and selling transactions and contract conclusion are not performed, and each user negotiates transactions and concludes contracts outside the system.

[0141] Moreover, since the system configuration, server configuration, and processing device configuration in the second embodiment are the same as those in the first embodiment, the second embodiment will also be described using the same reference numerals as those in the first embodiment. The configuration and processing of the server 10 in the second embodiment will be described below.

[0142] Pre-processing In the second embodiment, the pre-processing unit 112 of the server 10 performs (2-1) pre-processing and (2-2) setting and registration processing so that the user can conduct transactions outside the system. (2-1) Pre-processing The pre-processing unit 112 issues an account for the issuing company's administrative office. When the issuing company's administrative office logs in to the system using the account, the pre-processing unit 112 acquires employee information of the issuing company, stock acquisition right information for managing issued stock acquisition rights, existing shareholder information, and stock registry information. Unlike a shareholder community, the pre-processing unit 112 may set up a group (community) for each issuing company to which each user is associated. The pre-processing unit 112 does not need to perform screening on the issuing company.

[0143] (2-2) Setting and registration process The pre-processing unit 112 registers employee information of the acquired issuing company, stock acquisition right information for managing issued stock acquisition rights, existing shareholder information, and stock registry information in the storage device 130. The pre-processing unit 112 also sets up a window. The window items include one of the following items: window name, start date, end date, and transfer request application period. At this point, the user can log in to the service using the processing device 20 and refer to the stock compensation information (including stock acquisition right information) that they hold.

[0144] Transaction Processing The transaction processing unit 113 performs (2-3) window processing, and the transfer processing unit 115 performs (2-4) transfer approval request processing. (2-3) Window processing The transaction processing unit 113 receives desired conditions for purchase / sale, including the number of shares desired, price, and contact information, from a prospective buyer or seller. The transaction processing unit 113 publishes the received desired conditions on the system. For example, a prospective seller who has referenced the desired purchase conditions contacts the prospective buyer's contact information, and a prospective buyer who has referenced the desired sale conditions contacts the prospective seller's contact information, and transaction negotiations and contract conclusion take place outside the system.

[0145] (2-4) Transfer approval process When the service control unit 111 receives a notice of contract conclusion from the purchaser or seller, the transfer processing unit 115 requests the issuing company for transfer approval on behalf of the investor. The transfer processing unit 115 responds within the deadline, because if the transfer approval request is not approved within two weeks, it will be deemed approved.

[0146] When there is a request for transfer approval, the transfer processing unit 115 performs processing so that the transfer is approved by the board of directors. For example, the transfer processing unit 115 acquires documents that are set up so that the board of directors can decide to approve the transfer, and transmits these documents to the relevant parties.

[0147] The transfer processing unit 115 may approve the transfer of the stock acquisition rights to be traded even if the stock acquisition rights to be traded have not yet been exercised. If the directors pass a resolution and the transfer is approved, the transfer processing unit 115 executes the subsequent processing, and if the approval is rejected, the transfer processing unit 115 cancels the agreement.

[0148] <Rights Exercise Processing> The exercise processing unit 114 (2-5) performs exercise processing related to stock acquisition rights. (2-5) Exercise processing of stock acquisition rights If the stocks to be sold are stock acquisition rights, the exercise processing unit 114 notifies the seller that the stock acquisition rights are being sold. The seller then applies for the exercise of the stock acquisition rights to be sold. For example, the seller's processing device 20, in response to the seller's operation, applies to the server 10 to exercise the stock acquisition rights.

[0149] The exercise processing unit 114 confirms the exercise amount of the stock acquisition rights. For example, the exercise processing unit 114 notifies the seller of the exercise amount and performs processing to check whether there are any errors in the amount. When an application is made to exercise the stock acquisition rights, the exercise processing unit 114 notifies the purchaser of transfer information including the amount based on the selling price, the transfer destination (e.g., the transfer destination of the operating company), and the transfer deadline so that this information is displayed. The purchaser makes the specified transfer by the transfer deadline. If the specified transfer is not made by the transfer deadline, the exercise processing unit 114 may cancel the contract.

[0150] After confirming the transfer amount, the exercise processing unit 114 approves the exercise application and performs operations related to the exercise of rights. For example, the exercise processing unit 114 creates a stock delivery instruction, updates the stock acquisition rights register, and handles registration.

[0151] <Transfer Processing> The transfer processing unit 115 performs the (2-6) transfer process. (2-6) Transfer Processing When the purchaser transfers the purchase price to the seller and the seller's processing device 20 notifies the server 10 of the completion of the transfer, the transfer processing unit 115 updates the shareholder register information on the system. For example, the transfer processing unit 115 updates the owner of the shares acquired upon exercise of rights from the seller to the purchaser. Furthermore, if a shareholder register administrator has been selected, the transfer processing unit 115 notifies the shareholder register administrator of the shareholder register information updated on the system. For example, the transfer processing unit 115 attaches a file of the shareholder register information and sends it to the shareholder register administrator's email address using secure communication.

[0152] The transfer processing unit 115 also creates a transaction report regarding the stock acquisition rights. The transfer processing unit 115 notifies the created transaction report to the purchaser and seller. The processing devices 20 of the purchaser and seller each receive the transaction report from the server 10.

[0153] <Operation description> Next, we will explain each operation of the information processing system 1. Fig. 13 is a flowchart showing an example of processing related to the buying and selling of stock acquisition rights according to Example 2. In the example shown in Fig. 13, processing is performed in cooperation with a processing device 20 used by an issuing company or a user and a server 10 that provides the service.

[0154] In step S202, the pre-processing unit 112 of the server 10 issues an account for the issuing company and acquires various pieces of information related to account issuance. For example, the pre-processing unit 112 executes the above-mentioned (2-1) pre-processing.

[0155] In step S204, the pre-processing unit 112 of the server 10 registers the shareholder list etc. acquired from the issuing company and performs window setting processing. For example, the pre-processing unit 112 executes the above-mentioned (2-2) issuing company data registration processing and trading period (window) setting processing.

[0156] In step S206, when the start date of the set window arrives, the transaction processing unit 113 of the server 10 accepts the desired purchase conditions or desired sale conditions set in the window from the user. For example, the transaction processing unit 113 executes the window processing (2-3) described above.

[0157] In step S208, when the sale transaction regarding the stock acquisition rights is concluded, the transfer processing unit 115 of the server 10 performs an approval process regarding the transfer. For example, the transfer processing unit 115 executes the above-mentioned (2-4) transfer approval process.

[0158] In step S210, the exercise processing unit 114 of the server 10 performs an exercise process for acquiring shares by paying the exercise amount for the stock acquisition rights of the seller. For example, the exercise processing unit 114 executes the exercise process for the stock acquisition rights (2-5) described above.

[0159] In step S212, the transfer processing unit 115 of the server 10 performs procedures such as transferring the acquired shares from the seller to the purchaser when the stock acquisition rights are exercised. For example, the transfer processing unit 115 executes the above-mentioned (2-6) transfer process.

[0160] The above process provides a new mechanism for increasing the liquidity of stock acquisition rights or shares issued through the exercise of stock acquisition rights, without using a shareholder community system. This makes it possible to provide a secondary market for, for example, stock options. Note that, in the disclosure of this application, stock acquisition rights and shares generated through the exercise of stock acquisition rights may be read interchangeably, unless inconsistent.

[0161] The above-described embodiments are merely examples for explaining the disclosed technology, and are not intended to limit the disclosed technology to only these embodiments. The disclosed technology can be modified in various ways without departing from the spirit of the invention. In addition, the processes on the server side and the user's processing device side may be integrated as appropriate, or the processes may be transferred to the other device or to a different device. [Explanation of symbols]

[0162] 1...information processing system, 10...server, 20...processing device, 110...processor, 130...storage device, 111...service control unit, 112...pre-processing unit, 113...transaction processing unit, 114...exercise processing unit, 115...transfer processing unit, 116...money processing unit, 210...processor, 211...service processing unit, 212...communication control unit, 213...display control unit, 214...operation control unit, 230...storage device, 251...display

Claims

1. The information processing device Associating each user with a shareholder community that can buy and sell shares in privately held organizations; Associating each of the users with stock acquisition rights of the organization that each of the users owns; To carry out exercise procedures for the exercise of the stock acquisition rights; acquiring, from a processing device used by a first user among the users, a purchase request for at least a portion of the shares issued based on the stock acquisition rights of the organization owned by a second user, and / or acquiring, from a processing device used by the second user, a sale request for at least a portion of the shares issued based on the stock acquisition rights, and performing transaction processing for the transaction of at least a portion of the shares; When a purchase and sale transaction between the first user and the second user regarding at least a portion of the shares is concluded, performing a transfer process regarding the transfer of the shares after the exercise of the rights from the second user to the first user; An information processing method that performs the above.

2. The transfer process is carried out as follows: The method of claim 1 , further comprising updating shareholder registry information for the organization.

3. The transaction processing is The information processing method of claim 1 , further comprising matching the purchase request with the sale request.

4. The exercise processing is The information processing method according to claim 1 , further comprising exercising a portion of the stock acquisition rights that is the subject of a transaction.

5. The information processing method according to claim 1 , wherein the information processing device further performs monetary processing including a money receiving process for receiving a trading amount transferred from the first user.

6. The transfer process is carried out as follows:

6. The information processing method according to claim 5, further comprising updating shareholder registry information of said organization after said payment processing.

7. The financial processing is The information processing method according to claim 5 , further comprising performing a deposit process for depositing money to the second user.

8. The deposit process includes deducting a fee for the trading service for the stock acquisition rights from the purchase and sale amount. The information processing method according to claim 7.

9. The deposit process includes subtracting the amount required to exercise the stock acquisition rights from the purchase and sale amount. The information processing method according to claim 7.

10. In the information processing device, Associating each user with a shareholder community that can buy and sell shares in privately held organizations; Associating each of the users with stock acquisition rights of the organization that each of the users owns; To carry out exercise procedures for the exercise of the stock acquisition rights; acquiring, from a processing device used by a first user among the users, a purchase request for at least a portion of the shares issued based on the stock acquisition rights of the organization owned by a second user, and / or acquiring, from a processing device used by the second user, a sale request for at least a portion of the shares issued based on the stock acquisition rights, and performing transaction processing for the transaction of at least a portion of the shares; When a purchase and sale transaction between the first user and the second user regarding at least a portion of the shares is concluded, performing a transfer process regarding the transfer of the shares after the exercise of the rights from the second user to the first user; A program that executes the following.

11. An information processing device including one or more processors, the one or more processors: Associating each user with a shareholder community that can buy and sell shares in privately held organizations; Associating each of the users with stock acquisition rights of the organization that each of the users owns; To carry out exercise procedures for the exercise of the stock acquisition rights; acquiring, from a processing device used by a first user among the users, a purchase request for at least a portion of the shares issued based on the stock acquisition rights of the organization owned by a second user, and / or acquiring, from a processing device used by the second user, a sale request for at least a portion of the shares issued based on the stock acquisition rights, and performing transaction processing for the transaction of at least a portion of the shares; When a purchase and sale transaction between the first user and the second user regarding at least a portion of the shares is concluded, performing a transfer process regarding the transfer of the shares after the exercise of the rights from the second user to the first user; An information processing device that executes the above.

Images