Equity management system, equity management method and program

Abstract

An equity management system, an equity management method, and a program are provided that facilitate trading of shares granted by exercising stock options of unlisted companies. [Solution] An equity management system comprising a stock option (SO) management device and a stock trading device, in which the SO management device stores a user's stock option information and stock information, and transmits the user's stock information to the stock trading device in response to a request from the stock trading device.

Description

[Technical Field]

[0001] The present invention relates to an equity management system, an equity management method, and a program. [Background technology]

[0002] In recent years, an increasing number of companies are granting stock options to employees. Various systems for managing stock options have been proposed. For example, Cited Document 1 discloses a system that, by connecting to a server device SV via a network NW, enables an implementing company's terminal device CM to view the status of stock option holdings, register new option holders / exercisers, change the attributes of registered option holders / exercisers, check the status of stock option exercise applications, check tax systems in other countries, and set prohibitions on stock option exercise. [Prior art documents] [Patent documents]

[0003] [Patent Document 1] Japanese Patent Application Laid-Open No. 2002-297886 Summary of the Invention [Problem to be solved by the invention]

[0004] When stock options are exercised, shares are granted. However, in the case of unlisted companies, it is not easy to trade the granted shares.

[0005] The present invention has been made in consideration of the above-mentioned problems, and aims to facilitate trading of shares granted by exercising stock options of unlisted companies. [Means for solving the problem]

[0006] According to one embodiment, an equity management system includes a stock option management device and a stock trading device, wherein the stock option management device stores a user's stock option information and stock information, and transmits the user's stock information to the stock trading device in response to a request from the stock trading device. [Effects of the Invention]

[0007] According to one embodiment, stock options in private companies may be exercised to facilitate trading of the shares granted. [Brief explanation of the drawings]

[0008] [Figure 1] FIG. 1 is a diagram illustrating an example of the configuration of an equity management system 100. [Figure 2] 2 is a diagram illustrating an example of a hardware configuration of an SO management device 1 and a stock trading device 2.

[0023] FIG. [Figure 3] 2 is a diagram illustrating an example of the hardware configuration of a user terminal 3 and an administrator terminal 4. FIG. [Figure 4] 10 is a flowchart illustrating an example of a method for exercising SO. [Figure 5] 1 is a flowchart illustrating an example of a stock trading method. DETAILED DESCRIPTION OF THE INVENTION

[0009] Hereinafter, each embodiment of the present invention will be described with reference to the accompanying drawings. Note that, in the description of the specification and drawings relating to each embodiment, components having substantially the same functional configuration are designated by the same reference numerals, and redundant description will be omitted.

[0010] <System configuration> First, an overview of the equity management system 100 according to this embodiment will be described. The equity management system 100 is an information processing system that manages stock options (hereinafter referred to as "SO") of unlisted companies and enables trading of shares granted by exercising the SO.

[0011] FIG. 1 is a diagram illustrating an example of the configuration of an equity management system 100. As shown in FIG. 1, the equity management system 100 includes an SO management device 1, a stock trading device 2, a user terminal 3, and an administrator terminal 4, which are communicatively connected to each other via a network N. The network N is, for example, a wired local area network (LAN), a wireless LAN, the Internet, a public line network, a mobile data communication network, or a combination of these. In the example of FIG. 1, the equity management system 100 includes one each of the SO management device 1, the stock trading device 2, the user terminal 3, and the administrator terminal 4, but may include multiple of each.

[0012] The SO management device 1 is an information processing device that manages SOs assigned to users. The SO management device 1, together with a user terminal 3 and an administrator terminal 4, constitutes an SO management system. The SO management device 1 is, for example, a PC (Personal Computer), a smartphone, a tablet terminal, a server device, or a microcomputer, but is not limited to these. In the example of FIG. 1, the SO management device 1 is one information processing device, but may also be realized as a system consisting of multiple information processing devices connected via a network N.

[0013] The stock trading device 2 is an information processing device that provides a stock trading platform. The stock trading platform is a platform that mediates stock transactions, matching stock sell orders with stock buy orders and completing stock transactions (buying and selling). In this embodiment, the stock trading platform is a platform that mediates transactions of stocks of unlisted companies, but stocks of listed companies may also be traded. The stock trading device 2, together with a user terminal 3, constitutes a stock trading system. The stock trading device 2 is, for example, a PC, a smartphone, a tablet terminal, a server device, or a microcomputer, but is not limited to these. In the example of FIG. 1, the stock trading device 2 is a single information processing device, but may also be realized as a system consisting of multiple information processing devices connected via a network N.

[0014] The user terminal 3 is an information processing device used by the user. The user is a person to whom the SO is assigned. The user is, for example, an employee of a company, but is not limited thereto. The user terminal 3 is, for example, a PC, a smartphone, or a tablet terminal, but is not limited thereto.

[0015] The administrator terminal 4 is an information processing device used by the administrator. The administrator is a person who manages the SO. The administrator is, for example, an employee in the management department (general affairs department, accounting department, legal affairs, etc.) of a company, but is not limited thereto. The administrator terminal 4 is, for example, a PC, a smartphone, or a tablet terminal, but is not limited thereto.

[0016] <Hardware Configuration of the SO Management Device 1> Next, the hardware configuration of the SO management device 1 will be described. FIG. 2 is a diagram showing an example of the hardware configuration of the SO management device 1. As shown in FIG. 2, the SO management device 1 includes a control unit 11, a storage unit 12, and a communication unit 13, which are interconnected via a bus B1. [[ID= twelfth]]

[0017] The control unit 11 executes various programs stored in the storage unit 12, controls the entire SO management device 1, and realizes the functions of the SO management device 1. The control unit 11 is, for example, a CPU (Central Processing Unit), an MPU (Micro Processing Unit), a GPU (Graphics Processing Unit), an ASIC (Application Specific Integrated Circuit), a DSP (Digital Signal Processor), or a combination thereof.

[0018] The storage unit 12 is a computer-readable recording medium that stores various programs and data. The storage unit 12 is, for example, a read-only memory (ROM), a random access memory (RAM), a flash memory, a hard disk drive (HDD), a solid state drive (SSD), a storage class memory (SCM), or a combination thereof.

[0019] The communication unit 13 controls communication between the SO management device 1 and external devices via the network N. The communication unit 13 is, for example, a Bluetooth (registered trademark) module, a Wi-Fi (registered trademark) module, a ZigBee (registered trademark) module, an Ethernet (registered trademark) module, a mobile communication module, or a combination thereof.

[0020] In this embodiment, the program may be written to the storage unit 12 during the manufacturing stage of the SO management device 1, may be provided to the SO management device 1 via the network N, or may be provided to the SO management device 1 via a non-transitory computer-readable recording medium such as a recording medium. The recording medium may be, for example, a CD (Compact Disc), a DVD (Digital Versatile Disc), a FD (Floppy Disk), an MO (Magneto-Optical disk), a BD (Blu-ray (registered trademark) Disc), a USB (registered trademark) memory, an SD card, or a combination thereof.

[0021] <Hardware Configuration of Stock Trading Device 2> Next, a hardware configuration of the stock trading device 2 will be described. Fig. 2 is a diagram showing an example of the hardware configuration of the stock trading device 2. As shown in Fig. 2, the stock trading device 2 includes a control unit 21, a storage unit 22, and a communication unit 23, which are interconnected via a bus B2. The control unit 21, storage unit 22, and communication unit 23 of the stock trading device 2 are similar to the control unit 11, storage unit 12, and communication unit 13 of the SO management device 1, and therefore description thereof will be omitted.

[0022] <Hardware configuration of user terminal 3> Next, we will explain the hardware configuration of the user terminal 3. Fig. 3 is a diagram showing an example of the hardware configuration of the user terminal 3. As shown in Fig. 3, the user terminal 3 includes a control unit 31, a storage unit 32, a communication unit 33, an input unit 34, and an output unit 35, which are interconnected via a bus B3.

[0023] The control unit 31 executes various programs stored in the storage unit 32, controls the entire user terminal 3, and realizes the functions of the user terminal 3. The control unit 31 is, for example, a CPU, an MPU, a GPU, an ASIC, a DSP, or a combination of these.

[0024] The storage unit 32 is a computer-readable recording medium that stores various programs and data, and is, for example, a ROM, a RAM, a flash memory, a HDD, an SSD, an SCM, or a combination thereof.

[0025] The communication unit 33 controls communication between the user terminal 3 and external devices via the network N. The communication unit 33 is, for example, a Bluetooth (registered trademark) module, a Wi-Fi (registered trademark) module, a ZigBee (registered trademark) module, an Ethernet (registered trademark) module, a mobile communication module, or a combination thereof.

[0026] The input unit 34 inputs information to the user terminal 3. The input unit 34 is, for example, a mouse, a keyboard, a touch panel, a microphone, a scanner, an imaging device (camera), various sensors, an operation button, or a combination of these.

[0027] The output unit 35 outputs information from the user terminal 3. The output unit 35 is, for example, a display device, a projector, a printer, a speaker, a vibrator, or a combination of these.

[0028] Note that in this embodiment, the program may be written into the storage unit 32 at the manufacturing stage of the user terminal 3, may be provided to the user terminal 3 via the network N, or may be provided to the user terminal 3 via a non-temporary computer-readable recording medium such as a recording medium. The recording medium is, for example, a CD, DVD, FD, MO, BD, USB (registered trademark) memory, SD card, or a combination thereof.

[0029] <Hardware Configuration of Administrator Terminal 4> Next, the hardware configuration of the administrator terminal 4 will be described. FIG. 3 is a diagram showing an example of the hardware configuration of the administrator terminal 4. As shown in FIG. 3, the administrator terminal 4 includes a control unit 41, a storage unit 42, a communication unit 43, an input unit 44, and an output unit 45 that are interconnected via a bus B4. Since the control unit 41, storage unit 42, communication unit 43, input unit 44, and output unit 45 of the administrator terminal 4 are the same as those of the user terminal 3, the description thereof will be omitted.

[0030] <SO Exercise Method> Next, the SO exercise method executed by the equity management system 100 will be described. FIG. 4 is a flowchart showing an example of the SO exercise method. Hereinafter, at the start point of the flowchart, it is assumed that the user is registered in the SO management system but not registered in the stock trading system.

[0031] (Step S101) First, the user operates the input unit 34 of the user terminal 3 to log in to the SO management system and requests display of SO information. When the control unit 31 of the user terminal 3 receives the display request for SO information, it transmits a request to acquire the user's SO information to the SO management device 1. The acquisition request includes the user's identification information (such as name, employee number, email address, phone number, etc.).

[0032] The SO information is information relating to SOs. The SO information is stored in advance in the storage unit 12. The SO information includes at least one of information indicating the SO management table and information indicating the stock acquisition right register.

[0033] The SO management table is a table for managing SOs issued by a company. The SO management table includes grant information, exercise information, expiration information, financial information, and aggregate information. Grant information includes information indicating the grant date of the SO, the recipient, the number of grants, the exercise price, and the exercise conditions. Exercise information includes information indicating the exercise date of the SO, the number of exercises, and the number remaining after exercise. Expiration information includes information indicating the expiration date of the SO, the number of expirations, the person who expired, and the reason for expiration. Financial information includes information indicating the issuance costs of the SO, whether it is tax-eligible, etc. Aggregate information includes information indicating the total number of issued SOs, the total number of exercised SOs, the total number of unexercised SOs, and the total number of expired SOs.

[0034] The stock acquisition rights register is a ledger established by the Companies Act to manage stock acquisition rights issued by companies. The stock acquisition rights register includes information on grant, exercise, expiration, financial, and aggregate information.

[0035] (Step S102) When the control unit 11 of the SO management device 1 receives a request to acquire SO information from the user terminal 3, the control unit 11 refers to the storage unit 12 and transmits the user's SO information (SO information corresponding to the user's identification information) to the user terminal 3.

[0036] (Step S103) When the control unit 31 of the user terminal 3 receives the user's SO information from the SO management device 1, the control unit 31 displays the received SO information on the display device (output unit 35). This allows the user to check the SO information (number of SOs granted, exercise price, etc.) of the SOs he or she owns.

[0037] (Step S104) The user operates the input unit 34 of the user terminal 3 to request the exercise of some or all of the SOs he or she holds. At this time, the user specifies desired conditions. The desired conditions are the conditions the user desires when exercising the SOs. The desired conditions include, for example, but are not limited to, the exercise quantity and the exercise date. The control unit 31 of the user terminal 3 accepts the request to exercise the SOs.

[0038] (Step S105) The control unit 31 transmits an exercise request for the user's SO to the administrator terminal 4. The exercise request includes information indicating the user's identification information and desired conditions.

[0039] (Step S106) When the control unit 41 of the administrator terminal 4 receives the exercise request, it displays the exercise request on the display device (display unit 45). At this time, the control unit 41 may obtain the user's SO information from the SO management device 1 and display the user's SO information together with the exercise request. This allows the administrator to confirm that the user has requested the exercise of the SO.

[0040] (Step S107) When an exercise request for an SO is made, it is determined whether this exercise request satisfies the exercise conditions. If the exercise request satisfies the exercise conditions (step S107: YES), the process proceeds to step S108. If the exercise request does not satisfy the exercise conditions (step S107: NO), the process ends. Note that if the exercise request does not satisfy the exercise conditions, the control unit 41 may notify the user terminal 3 of that fact (the determination result of the exercise conditions).

[0041] The determination of whether the exercise request satisfies the exercise conditions may be made, for example, by the administrator by referring to the user's SO information. In this case, the administrator operates the input unit 44 of the administrator terminal 4 to input the determination result to the administrator terminal 4. The control unit 41 accepts the determination result input by the administrator.

[0042] Furthermore, the determination of whether the exercise request satisfies the exercise conditions may be performed by the control unit 41 with reference to the user's SO information. In this case, the control unit 41 may acquire the user's SO information from the SO management device 1, compare the acquired SO information (such as the exercise conditions) with the exercise request (such as the desired conditions), and determine whether the exercise conditions are satisfied.

[0043] (Step S108) If the exercise request satisfies the exercise conditions, the control unit 41 transmits transfer information for exercising the SO to the user terminal 3. The transfer information is information for paying the price for exercising the SO. The transfer information includes information indicating the exercise price, transfer deadline, transfer destination, etc. The exercise price is calculated from the quantity and exercise price of the SO to be exercised. The transfer deadline may be set by the administrator or may be calculated from the schedule of internal procedures (board of directors) for approving the exercise of the SO. The transfer destination is the financial institution to which the transfer is to be made, the account type, the account number, etc., and is set in advance.

[0044] The control unit 41 may send the transfer information to the user terminal 3 as a notification on the SO management system, or may send it by email to the user's email address. The control unit 41 can send the transfer information by any method. This allows the user to confirm the transfer information for exercising the SO. The control unit 41 may also notify the user terminal 3 that the exercise request satisfies the exercise conditions (the determination result of the exercise conditions).

[0045] (Step S109) The control unit 41 of the administrator terminal 4 checks whether the exercise price has been deposited by the user. If the deposit has been made (step S109: YES), the process proceeds to step S110. If the deposit has not been made (step S109: NO), the process waits.

[0046] The administrator may confirm the deposit by checking the account information of the transfer destination. In this case, the administrator operates the input unit 44 of the administrator terminal 4 to input the fact that the deposit has been made into the administrator terminal 4. The control unit 41 accepts the confirmation result (whether or not the deposit has been made) input by the administrator.

[0047] Furthermore, the administrator terminal 4 may confirm the deposit by acquiring the account information of the recipient bank account through API or the like in cooperation with the server of the recipient bank account. In this case, the presence or absence of the deposit is acquired from the bank server.

[0048] (Step S110) When the deposit is confirmed, the control unit 41 of the administrator terminal 4 transmits the user's SO exercise information to the SO management device 1. The exercise information includes the user's identification information and information indicating the SO exercise date, the number of exercises, the number remaining after exercise, etc.

[0049] The control unit 41 may transmit the exercise information of the user's SO to the SO management device 1 without confirming the deposit. That is, if the exercise request satisfies the exercise conditions, the control unit 41 may transmit the exercise information of the user's SO to the SO management device 1. Examples of such cases include when a company pays the exercise price in advance on behalf of the user, or when the exercise price is paid from the sale proceeds of the shares sold by the user.

[0050] (Step S111) When the control unit 11 of the SO management device 1 receives the exercise information from the manager terminal 4, it updates the SO information and stock information of the user stored in the storage unit 12 according to the exercise information.

[0051] The stock information is information relating to stocks. The stock information is pre-stored in the storage unit 12. The stock information includes information indicating a shareholder register.

[0052] A shareholder register is a ledger prescribed by the Companies Act for managing shares issued by a company. The shareholder register contains information such as the shareholder's name, address, shareholder number, number of shares held, date of share acquisition, type of share, share transfer history, number of votes, increase history due to exercise of SO, and share transfer restrictions.

[0053] As a result, for example, the number of SOs granted in the user's SO information is reduced by the exercise quantity of the SOs. Also, the number of shares in the user's stock information is increased by the number of shares issued by the exercise of the SOs. Also, when a user acquires shares for the first time, the user is registered as a new shareholder.

[0054] (Step S112) Thereafter, the control unit 11 transmits the updated SO information and stock information of the user to the user terminal 3.

[0055] (Step S113) When the control unit 31 of the user terminal 3 receives the user's SO information and stock information from the SO management device 1, it displays the received SO information and stock information on the display device (output unit 35). This allows the user to confirm that the SO has been exercised and the stocks have been granted.

[0056] <Stock trading methods> Next, a stock trading method executed by the equity management system 100 will be described. FIG. 5 is a flowchart showing an example of the stock trading method. Hereinafter, it is assumed that at the start of the flowchart, the user is registered as a user in the SO management system, but is not registered as a user in the stock trading system. It is also assumed that the user is registered as a shareholder in the stock information stored in the SO management device 1.

[0057] (Step S201) First, the user operates the input unit 34 of the user terminal 3 to input user information for registering as a user (investor) who will use the stock trading platform. The user information includes the user's identification information (such as name, employee number, email address, and telephone number). The control unit 31 of the user terminal 3 accepts the user information input by the user.

[0058] (Step S202) The control unit 31 transmits a registration request for registering the user as an investor to the stock trading device 2. The registration request includes user information.

[0059] (Step S203) When the control unit 21 of the stock trading device 2 receives a user registration request from the user terminal 3, it requests the SO management device 1 for stock information of the user (stock information corresponding to the user's identification information).

[0060] (Step S204) The control unit 11 of the SO management device 1 transmits the user's stock information to the stock trading device 2.

[0061] (Step S205) When the control unit 21 of the stock trading device 2 receives the user's stock information from the SO management device 1, the control unit 21 associates the user information with the stock information and stores them in the storage unit 22, and registers the user as an investor who trades stocks on the stock trading platform (a user of the stock trading system). In this way, in the equity management system 100, the SO management device 1 provides the user's stock information to the stock trading device 2, so that a user who has exercised an SO and been granted shares can trade those shares seamlessly.

[0062] When registering a user, the control unit 21 may acquire information necessary for user registration from the SO management device 1. When registering a user, the control unit 21 may communicate with the user terminal 3 to execute a personal authentication procedure (KYC, etc.) for the user.

[0063] (Step S206) Thereafter, the control unit 21 notifies the user terminal 3 that the user registration has been completed.

[0064] (Step S207) Once user registration is complete, the user operates the input unit 34 of the user terminal 3 to log in to the stock trading system and request display of stock information. Upon receiving the request to display stock information, the control unit 31 of the user terminal 3 transmits a request to acquire the user's stock information to the stock trading device 2. The acquisition request includes the user's identification information (such as name, employee number, email address, and telephone number).

[0065] (Step S208) When the control unit 21 of the stock trading device 2 receives a request to acquire stock information from the user terminal 3, the control unit 21 refers to the storage unit 22 and transmits the user's stock information (SO information corresponding to the user's identification information) to the user terminal 3.

[0066] (Step S209) When the control unit 31 of the user terminal 3 receives the user's stock information from the stock trading device 2, the control unit 31 displays the received stock information on the display device (output unit 35). This allows the user to check stock information (such as the number of shares granted) of the stocks he or she owns.

[0067] The user operates the input unit 34 of the user terminal 3 to select the stocks they hold and apply to join the shareholder community for the selected stock. When the control unit 31 of the user terminal 3 accepts the participation application from the user, it transmits the participation application for the stock community to the stock trading device 2. The participation application includes the user's identification information (name, employee number, email address, telephone number, etc.) and the shareholder community identification information (information indicating the stocks in the shareholder community).

[0068] A shareholder community is a place where investors directly trade (buy and sell) shares of unlisted companies. In this embodiment, the stock trading device 2 provides this shareholder community as a stock trading platform. Note that the stock trading device 2 may also provide a proprietary trading system (PTS) as the stock trading platform.

[0069] At this time, the control unit 31 may also communicate with the stock trading device 2 to display the shareholder community handling guidelines, confirmation regarding shareholder community transactions, pledges, etc. on the display device (output unit 35) and obtain consent from the user.

[0070] (Step S210) The control unit 31 transmits an application to join the shareholder community to the stock trading device 2. The application includes the user's identification information (such as name, employee number, email address, and telephone number) and the shareholder community's identification information (information indicating the stocks in the shareholder community).

[0071] (Step S211) When a participation request is made, the participation request is examined to determine whether it should be approved. If the participation request is approved (step S211: YES), the process proceeds to step S213. If the participation request is not approved (step S211: NO), the process proceeds to step S214.

[0072] The examination of whether to approve the participation application may be performed, for example, by the operator of the shareholder community (e.g., an administrator of the stock trading device 2) by referring to the user's stock information. In this case, the operator operates the input unit of the operator terminal to input the examination results into the operator terminal. The control unit of the operator terminal accepts the examination results input by the operator and transmits them to the stock trading device 2.

[0073] Furthermore, the control unit 21 may review whether to approve the participation application by referring to the user's stock information. In this case, the control unit 21 may compare the user's stock information with the review criteria stored in the storage unit 22 to determine whether to approve the participation application.

[0074] (Step S212) If the participation application is not approved, the control unit 21 notifies the user terminal 3 that the participation in the shareholder community has not been approved (not approved).

[0075] (Step S213) If the participation application is approved, the control unit 21 registers the user as a member of the shareholder community.

[0076] (Step S214) When the user's membership registration is complete, the control unit 21 notifies the user terminal 3 that the user has been approved to join the shareholder community and has been registered as a member of the shareholder community. Thereafter, the user can trade the stocks he or she owns in the shareholder community.

[0077] (Step S215) After the user is registered as a member of the shareholder community, the user operates the input unit 34 of the user terminal 3 to log in to the stock trading system (shareholder community) and input order information. The control unit 31 of the user terminal 3 accepts the order information input by the user.

[0078] The order information is information indicating the content of an order, and includes information indicating the stock name (the stock held by the user) that the user wants to sell or buy, the number of shares (number of shares), the order price, etc.

[0079] Furthermore, the control unit 31 communicates with the stock trading device 2, displays the pre-contract delivery document and the pledge on the display device (output unit 35), and obtains consent from the user.

[0080] (Step S216) The control unit 31 generates a stock purchase / sale order request including the order information and transmits it to the stock trading device 2.

[0081] (Step S217) The control unit 21 of the stock trading device 2 matches orders in the shareholder community for stocks ordered by the user. When the stock trading device 2 receives a stock purchase / sale order request from the user terminal 3, it may confirm with the administrator terminal 4 whether to approve the order, and if approved, may execute stock matching. More specifically, when the stock trading device 2 receives a stock purchase / sale order request from the user terminal 3, the stock trading device 2 may send a confirmation request to the administrator terminal 4 to confirm whether to approve the order, and if the administrator approves the order, the administrator terminal 4 may send a notification to that effect to the stock trading device 2, and when the stock trading device 2 receives the notification of approval, the stock trading device 2 may execute stock matching according to the order. This allows the administrator to manage, via the administrator terminal 4, whether users can buy or sell stocks.

[0082] (Step S218) When the orders are matched (contracted), the control unit 21 executes a transaction process for the matched order. The transaction process includes general processing that is performed when a transaction is concluded in a shareholder community. The transaction process includes, for example, confirmation of transaction consent from the seller and buyer, confirmation of transaction consent from the company that issued the shares, a transfer request to the buyer, confirmation of deposit, and name change after deposit. The transaction process may be executed online by the control unit 21, or may be executed offline by an operator of a stock trading platform or the like, with the execution results entered into the stock trading device 2.

[0083] (Step S219) When the transaction processing is completed, the control unit 21 stores the transaction information in the storage unit 22 and transmits the transaction information to the SO management device 1. The transaction information is information indicating the results of stock transactions, and includes information indicating the type, number, and amount of stocks bought and sold. The control unit 21 also updates the user's stock information stored in the storage unit 22 based on the transaction information. As a result, for example, the number of stocks held in the user's stock information stored in the storage unit 22 is decreased (increased) by the quantity of stocks sold (purchased).

[0084] (Step S220) When the control unit 11 of the SO management device 1 receives trading information from the stock trading device 2, it stores the received trading information in the storage unit 12. Furthermore, the control unit 11 updates the user's stock information stored in the storage unit 12 based on the trading information. As a result, for example, the number of stocks held in the user's stock information stored in the storage unit 12 is decreased (increased) by the number of shares sold (purchased). Note that the user terminal 3 may be able to obtain the updated stock information from the SO management device 1 and display it on the display device (output unit 35). In other words, the user may be able to check the updated stock information on the SO management system.

[0085] (Step S221) In addition, the control unit 21 transmits the transaction information to the administrator terminal 4.

[0086] (Step S222) When the control unit 41 of the administrator terminal 4 receives the trading information from the stock trading device 2, it displays the received trading information on the display device (output unit 45). This allows the administrator to check the results of the users' stock trading on the administrator terminal 4. Note that the administrator terminal 4 may obtain stock information updated with the trading information from the SO management device 1 and display it on the display device (output unit 45). In other words, the administrator may be able to check the updated stock information on the SO management system.

[0087] (Step S223) In addition, the control unit 21 transmits the transaction information to the user terminal 3.

[0088] (Step S224) When the control unit 31 of the user terminal 3 receives the trading information from the stock trading device 2, it displays the received trading information on the display device (output unit 35). This allows the user to check the results of the user's stock trading on the user terminal 3. The user terminal 3 may also obtain stock information updated with the trading information from the SO management device 1 and display it on the display device (output unit 35). In other words, the user may be able to check the updated stock information on the SO management system.

[0089] <Summary> As described above, according to this embodiment, an equity management system 100 can be realized that includes an SO management device 1 and a stock trading device 2, in which the SO management device 1 stores a user's SO information and stock information, and transmits the user's stock information to the stock trading device 2 in response to a request from the stock trading device 2 (step S204).

[0090] According to this equity management system 100, the SO management device 1 manages the SO information and stock information of users, and the SO management device 1 provides the user's stock information to the stock trading device 2. As a result, a user who has exercised an SO and been granted stocks can seamlessly trade those stocks simply by registering as a user on the stock trading platform. This makes it easy to trade stocks granted by exercising an SO of an unlisted company.

[0091] (Appendix 1) An equity management system comprising a stock option management device and a stock trading device, The stock option management device includes: storing user stock option information and stock information; In response to a request from the stock trading device, the stock information of the user is transmitted to the stock trading device. Equity management systems.

[0092] (Appendix 2) The administrator terminal receiving a request to exercise stock options held by the user from the user terminal; If the exercise request satisfies the exercise conditions of the stock option, sending transfer information for exercising the stock option to the user terminal; When the receipt of the exercise price is confirmed, the stock option management device updates the stock option information and the stock information; Equity management system as described in Appendix 1.

[0093] (Supplementary Note 3) The administrator terminal receives from the administrator the determination result as to whether or not the exercise request satisfies the exercise conditions of the stock option. Equity management system as described in Appendix 2.

[0094] (Appendix 4) The administrator terminal determines whether the exercise request satisfies the exercise conditions of the stock option based on the stock option information. Equity management system as described in Appendix 2.

[0095] (Appendix 5) The administrator terminal receives from the administrator whether or not the exercise price has been deposited. Equity management system as described in Appendix 2.

[0096] (Appendix 6) The administrator terminal acquires from a financial institution server whether or not the exercise price has been deposited. Equity management system as described in Appendix 2.

[0097] (Appendix 7) The stock option information includes at least one of information indicating a stock option management table and information indicating a stock acquisition right register. Equity management system as described in Appendix 1.

[0098] (Appendix 8) The stock information includes information indicating a shareholder register. Equity management system as described in Appendix 1.

[0099] (Appendix 9) The request from the stock trading device includes information indicating the type, quantity and price of the stocks to be traded. Equity management system as described in Appendix 1.

[0100] (Appendix 10) The user terminal receives trading information indicating the results of the user's stock trading from the stock trading device and displays the trading information. Equity management system as described in Appendix 2.

[0101] (Appendix 11) The administrator terminal receives trading information indicating the results of the user's stock trading from the stock trading device and displays the trading information. Equity management system as described in Appendix 2.

[0102] (Appendix 12) When the stock trading device receives stock order information from the user terminal, it checks with the administrator terminal whether to approve the order, and if approved, executes stock matching. Equity management system as described in Appendix 2.

[0103] (Appendix 13) An equity management method executed by an equity management system including a stock option management device and a stock trading device, comprising: The stock option management device includes: storing user stock option information and stock information; In response to a request from the stock trading device, the stock information of the user is transmitted to the stock trading device. Equity management methods.

[0104] (Appendix 14) An equity management system including a stock option management device and a stock trading device, The stock option management device includes: storing user stock option information and stock information; In response to a request from the stock trading device, the stock information of the user is transmitted to the stock trading device. A program that puts equity management methods into practice.

[0105] The embodiments disclosed herein are illustrative in all respects and should not be considered limiting. The scope of the present invention is defined by the claims, not by the above meaning, and is intended to include all modifications within the meaning and scope of the claims. Furthermore, the present invention is not limited to the above-described embodiments, and various modifications are possible within the scope of the claims. Embodiments obtained by appropriately combining the technical means disclosed in different embodiments are also included in the technical scope of the present invention. [Explanation of symbols]

[0106] 1:SO management device 2: Stock trading device 3: User terminal 4: Administrator terminal 11, 21, 31, 41: Control unit 12,22,32,42: Storage section 13, 23, 33, 43: Communications Department 34,44: Input section 35,45: Output section 100:Equity Management System

Claims

1. An equity management system comprising an administrator terminal, a stock option management device, and a stock trading device, The administrator terminal receiving a request to exercise stock options held by a user from the user terminal; If the exercise request satisfies the exercise conditions of the stock option, transmitting transfer information including an exercise price for exercising the stock option to the user terminal; The stock option management device includes: storing user stock option information and stock information; When the payment of the exercise price is confirmed, the stock option information and the stock information are updated based on the exercise information of the stock option of the user; transmitting the stock information of the user to the stock trading device in response to a request from the stock trading device; The administrator terminal acquiring the stock option information from the stock option management device, and determining whether or not the exercise request satisfies the exercise conditions of the stock option based on the acquired stock option information, or receiving from an administrator a determination result as to whether or not the exercise request satisfies the exercise conditions of the stock option; The information on whether the exercise price has been paid is received from the administrator or obtained from a financial institution server, and when the payment is confirmed, the exercise information is sent to the stock option management device. Equity management systems.

2. The stock option information includes at least one of information indicating a stock option management table and information indicating a stock acquisition right register. The equity management system of claim 1 .

3. The stock information includes information indicating a shareholder register. The equity management system of claim 1 .

4. The request from the stock trading device includes information indicating the type, quantity and price of the stocks to be traded. The equity management system of claim 1 .

5. the stock trading device transmits trading information indicating the user's stock trading results to the user terminal; The user terminal displays the trading information received from the stock trading device. The equity management system of claim 1 .

6. The administrator terminal receives trading information indicating the results of the user's stock trading from the stock trading device and displays the trading information. The equity management system of claim 1 .

7. An equity management method executed by an equity management system including an administrator terminal, a stock option management device, and a stock trading device, comprising: The administrator terminal receiving a request to exercise stock options held by a user from the user terminal; If the exercise request satisfies the exercise conditions of the stock option, transmitting transfer information including an exercise price for exercising the stock option to the user terminal; The stock option management device includes: storing user stock option information and stock information; When the payment of the exercise price is confirmed, the stock option information and the stock information are updated based on the exercise information of the stock option of the user; transmitting the stock information of the user to the stock trading device in response to a request from the stock trading device; The administrator terminal acquiring the stock option information from the stock option management device, and determining whether or not the exercise request satisfies the exercise conditions of the stock option based on the acquired stock option information, or receiving from an administrator a determination result as to whether or not the exercise request satisfies the exercise conditions of the stock option; The information on whether the exercise price has been paid is received from the administrator or obtained from a financial institution server, and when the payment is confirmed, the exercise information is sent to the stock option management device. Equity management methods.

8. An equity management system including an administrator terminal, a stock option management device, and a stock trading device, The administrator terminal receiving a request to exercise stock options held by a user from the user terminal; If the exercise request satisfies the exercise conditions of the stock option, transmitting transfer information including an exercise price for exercising the stock option to the user terminal; The stock option management device includes: storing user stock option information and stock information; When the payment of the exercise price is confirmed, the stock option information and the stock information are updated based on the exercise information of the stock option of the user; transmitting the stock information of the user to the stock trading device in response to a request from the stock trading device; The administrator terminal acquiring the stock option information from the stock option management device, and determining whether or not the exercise request satisfies the exercise conditions of the stock option based on the acquired stock option information, or receiving from an administrator a determination result as to whether or not the exercise request satisfies the exercise conditions of the stock option; The information on whether the exercise price has been paid is received from the administrator or obtained from a financial institution server, and when the payment is confirmed, the exercise information is sent to the stock option management device. A program that puts equity management methods into practice.

Images