FORM 1
INDIVIDUAL SUBSTANTIAL SHAREHOLDER NOTICE
Notice pursuant to s. 324 of Part XV of the Securities and Futures Ordinance (Cap. 571)
Form for use by an individual giving notice of :
(i) First acquiring an interest in 5% or more of the shares of a listed corporation (I.e. first becoming a substantial shareholder);
(ii) Changes in the percentage level, or nature, of his interest or his short position in such shares; and
(iii) Ceasing to have an interest in 5% of such shares (complete Boxes 1 to 16 and 24 only)
This Form must be completed in accordance with the directions and instructions in the Notes to Form 1.
1. Name of listed corporation
2. Stock code
4. Number of issued shares in class
3. Class of shares
5. Name of substantial shareholder (English) as printed on HKID/Passport
8. Name of substantial shareholder (Chinese)
(Surname)
6. HKID/Passport No.
9. Chinese Character Code
(Other names)
Country of issue of Passport
7. Address of substantial shareholder
10. Daytime tel. No.
11. e-mail address
12. Date of relevant event
(day)
(month)
13. Date when the substantial shareholder became aware
of the relevant event/ interest in the shares (if later)
(year)
(day)
(month)
(year)
14. Details of relevant event
Relevant event
code describing
circumstances
(see Table 1)
Code describing capacity in which
shares were/are held
(see Table 2)
Before relevant
event
Number of shares Currency of
bought/sold or
transaction
involved
After relevant
event
Long position
Short position
15. Total shares immediately before the relevant event
Total number of shares
On Exchange
Off Exchange
Highest price per Average price per Average
Consideration
share
share
consideration per Code
share
(see Table 3)
16. Total shares immediately after the relevant event
Percentage figure (%)
Total number of shares
Percentage figure (%)
Long position
Long position
Short position
Short position
Lending pool
Lending pool
17. Capacity in which interests disclosed in Box 16 are held
18. Further information in respect of derivative interests
Code describing capacity
(see Table 2)
Number of shares
Long position
Short position
Code describing derivatives
Number of shares
Long position
(see Table 4)
Short position
19. Further information in relation to interests of children under 18 and/or spouse
Name of child/spouse
Number of shares
Address
Long position
Short position
20. Further information in relation to interests of corporations controlled by substantial shareholder
Name of controlled
corporation
Address and place of incorporation
Name of controlling
shareholder
%
control
Direct
interest
(Y/N)
Number of shares
Long position
Short position
21. Further information in relation to interests held by substantial shareholder jointly with another person
Name of joint shareholder
Number of shares
Address
Long position
Short position
22. Further information from a trustee, or beneficiary of a trust, or a person who has set up a Discretionary Trust
Name of Trust
Status Code
(see Table 5)
Address
Number of shares
Long position
Short position
23. Further information from a party to an agreement under Section 317
Names of other parties
( Please see Notes for further information required)
Address
Number of shares
Total number of shares in which substantial shareholder is interested under section 317 and 318
24. Date of filing this Form 1
25. Number of continuation sheets
(day)
Form 1.
(month)
(year)
26. Number of attachments
Continuation Sheet
17. Capacity in which interests disclosed in Box 16 are held
Code describing capacity
(see Table 2)
Number of shares
Long position
[Link] Box17
Short position
Continuation Sheet
18. Further information in respect of derivative interests
Code describing
derivatives (see Table 4)
Number of shares
Long position
[Link] Box18
Short position
Continuation Sheet
19. Further information in relation to interests of children under 18 and/or spouse
Name of child/spouse
Number of shares
Address
Long position
[Link] Box19
Short position
Continuation Sheet
20. Further information in relation to interests of corporations controlled by substantial shareholder
Name of controlled
corporation
Address and place of incorporation
Name of controlling shareholder
[Link] Box20
%
control
Direct
interest
(Y/N)
Number of shares
Long position
[Link] Box20
[Link] Box20
Number of shares
Short position
[Link] Box20
[Link] Box20
[Link] Box20
Continuation Sheet
21. Further information in relation to interests held by substantial shareholder jointly with another person
Number of shares
Name of joint shareholder Address
Long position
[Link] Box21
Short position
Continuation Sheet
22. Further information from a trustee, or beneficiary of a trust, or a person who has set up a Discretionary Trust
Name of Trust
Status Code
Address
(see Table 5)
[Link] Box22
Number of shares
Long position
Short position
Continuation Sheet
23. Further information from a party to an agreement under Section 317
(Please see Explanatory Notes for further information required)
Names of other parties
Address
Number of shares
[Link] Box23
[Link] Box23
