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Bortex Global Limited — Capital/Financing Update 2017
Oct 30, 2017
51278_rns_2017-10-30_374a3763-d1ef-4f8c-a4df-7050676044eb.pdf
Capital/Financing Update
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Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股份,並直接 存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口持有人股份戶口或 閣 下指定的中央結算系統參與者股份戶口,請使用本表格
This Application Form uses the same terms as defined in the prospectus of Bortex Global Limited (the “Company”) Staple dated 31 October 2017 (the “Prospectus”). 本申請表格使用濠亮環球有限公司 (「本公司」)於二零一七年十月三十一 日刊發的招股章程(「招股章程」)所界定的詞語。 your Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any payment here Public Offer Shares in any jurisdiction other than Hong Kong. The Public Offer Shares may not be offered or sold in the 請將股款 United States without registration or an exemption from registration under the U.S. Securities Act. 本申請表格及招股章 程概不構成在香港以外司法權區要約出售或游說要約購買公開發售股份。若無根據美國《證券法》登記或豁免登記, 緊釘在此* 公開發售股份不得在美國提呈發售或出售。
This Application Form and the Prospectus may not be forwarded or distributed or reproduced (in whole or in part) in any manner whatsoever in any jurisdiction where such forwarding, distribution or reproduction is not permitted under the law of that jurisdiction. 任何根據當地法例不得發送、派發或複製本申請表格及招股章程的司法權區內概不得發送或 派發或複製(不論方式,也不論全部或部分)本申請表格及招股章程。
Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar of Companies in Hong Kong and Available for Inspection” section in Appendix V to the Prospectus, have been registered by the Registrar of Companies in Hong Kong as required by section 342C of Companies (Winding Up and Miscellaneous Provisions) Ordinance (chapter 32 of the Laws of Hong Kong). Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the “Hong Kong Stock Exchange”), Hong Kong Securities Clearing Company Limited (“HKSCC”),the Securities and Futures Commission of Hong Kong (the“SFC”) and the Registrar of Companies of Hong Kong take no responsibility for the contents of these documents. 招股章程、所有相 關申請表格及招股章程附錄五「送呈香港公司註冊處處長及備查文件」一節所述其他文件,已遵照香港法例第32章《公 司(清盤及雜項條文)條例》第 342C 條之規定,送呈香港公司註冊處處長登記。香港交易及結算所有限公司、香港聯 合交易所有限公司(「香港聯交所」)、香港中央結算有限公司(「香港結算」)、香港證券及期貨事務監察委員會(「證 監會」)及香港公司註冊處處長對此等文件的內容概不負責。
Bortex Global Limited 濠亮環球有限公司[*] (incorporated in the Cayman Islands with limited liability) (於開曼群島註冊成立的有限公司) Stock code: 8118 股份代號: 8118 Maximum Offer Price: HK$0.5 per Offer Share plus brokerage fee of 1%, SFC transaction levy of 0.0027% and Hong Kong Stock Exchange trading fee of 0.005%, (payable in full on application in Hong Kong dollars and subject to refund)
最高發售價: 每股發售股份 0.5 港元,另加 1% 經紀佣金、0.0027% 證監會交易徵費及 0.005% 香港聯交所交易費(須於申 請時繳足及可予退還) You should read this Application Form in conjunction with the Prospectus, which contains further information on the application procedures. 招股章程尚有其他關於申請程序的其他資料,本申請表格應與招股章程一併閱讀。 Application Form 申請表格
To: Bortex Global Limited The Sole Global Coordinator The Public Offer Underwriters
Applicants’ declaration
I/We agree to the terms and conditions and application procedures in this Application Form and the Prospectus. Please refer to the “Effect of completing and submitting this Application Form” section of this Application Form.
致: 濠亮環球有限公司 獨家全球協調人 公開發售包銷商
申請人聲明
本人╱吾等同意本申請表格及招股章程的條款及條件以及 申請程序。見本申請表格「填交本申請表格的效用」一節。
Warning: Only one application may be made for the benefit of any person. Please refer to the last four bullets of “Effect of completing and submitting this Application Form” section.
警告:任何人士只限作出一次為其利益而進行的認購申請。 請參閱「填交本申請表格的效用」一節最後四點。
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僅供識別
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For identification purpose only
Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股份,並直接 存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口持有人股份戶口或 閣 下指定的中央結算系統參與者股份戶口,請使用本表格
Signed by (all) applicant(s) (all joint applicants must sign): For Broker use 此欄供經紀填寫 Lodged by 遞交申請的經紀 由(所有)申請人簽署(所有聯名申請人必須簽署): Broker No. 經紀號碼 Broker’s Chop 經紀印章 ....................................................................... Date: 日期: ................./ ................./ .................. D 日 M 月 Y 年 Number of Offer Shares applied for (not more than 20,000,000 shares) 申請發售股份數目(不超過 Cheque/banker’s cashier order number 支票╱銀行本票號碼 20,000,000 股股份) Name of bank on which cheque/Banker’s cashier order is drawn (see “How to make your application” section) 兌現支票╱銀行 Total amount 總額 本票的銀行名稱(見「申請手續」一節) HK$ 港元 Name in English 英文姓名╱名稱 Family name or company name 姓氏或公司名稱 Forename(s) 名字 Name in Chinese 中文姓名╱名稱 Family name or company name 姓氏或公司名稱 Forename(s) 名字 Occupation in English 職業(以英文填寫) Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No. (Please delete as appropriate) 香 港身份證號碼╱護照號碼╱香港商業登記號碼 (請刪除不 適用者) Names of all other joint applicants in English (if any) Hong Kong Identity Card No./Passport No./Hong Kong Business 所有其他聯名申請人的英文姓名╱名稱(如有) Registration No. of all other joint applicants (Please delete as appropriate) 所有其他聯名申請人的香港身份證號碼╱護照號碼╱香 (1) 港商業登記號碼 (請刪除不適用者) (1) (2) (2) (3) (3) Hong Kong address in English and telephone no. (joint applicants should give the address and the telephone number of first-named applicant only) 香港地址(以英文填寫)及電話號碼(聯名申請人只須填寫排名首位申請人的地址) Telephone No. 電話號碼 For Nominees: You will be treated as applying for your own THIS BOX MUST BE DULY COMPLETED benefit if you do not complete this section. Please provide an 必須填妥此欄 account number or identification code for each (joint) beneficial Participant I.D. of the CCASS Investor Participant or designated owner. 由代名人遞交: 代名人若不填寫本節,是項認購申 CCASS Participant 中央結算系統投資者戶口持有人或指定的中 請將視作為 閣下利益提出。請填寫每名(聯名)實益擁有人 央結算系統參與者的參與者編號 的賬戶號碼或識別號碼。 For designated CCASS Participant or Corporate CCASS Investor ADDRESS LABEL 地址標貼(Your name(s) and address Participant, please also affix the company chop bearing its company in Hong Kong in BLOCK letters 請用英文 正楷 填寫 姓 name 指定的中央結算系統參與者或中央結算系統公司投資者戶口 名╱名稱 及香港 地址 )
For Nominees: You will be treated as applying for your own benefit if you do not complete this section. Please provide an account number or identification code for each (joint) beneficial owner. 由代名人遞交: 代名人若不填寫本節,是項認購申 請將視作為 閣下利益提出。請填寫每名(聯名)實益擁有人 的賬戶號碼或識別號碼。
For designated CCASS Participant or Corporate CCASS Investor Participant, please also affix the company chop bearing its company name 指定的中央結算系統參與者或中央結算系統公司投資者戶口 持有人,請加蓋顯示公司名稱的公司印章
(See paragraph 2 in the section “How to make your application”) (請 參閱「申請手續」一節第 2 段)
For Internal use 此欄供內部使用
Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股份,並直接 存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口持有人股份戶口或 閣 下指定的中央結算系統參與者股份戶口,請使用本表格
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(1) If you are a CCASS Investor Participant, only a Hong Kong Identity Card number (if you are an individual) or a Hong Kong Business Registration number (if you are a body corporate) will be accepted for this application, please see paragraph 2 under the section “How to make your application”. 如 閣下為中央結算系統投資者戶口持有人,是項申請僅接納香港身份證號碼
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(如屬個別人士)或香港商業登記號碼(如屬法人團體);請參閱「申請手續」一節第 2 段。
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(2) If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For an individual, you must provide your Hong Kong Identity Card number or passport number. If you hold a Hong Kong Identity Card, please provide that number. If you do not hold a Hong Kong Identity Card, please provide your passport number. For a body corporate, please provide your Hong Kong Business Registration number. 如 閣下透過中央結算系統投 資者戶口持有人以外的指定中央結算系統參與者提出申請:如屬個別人士,必須填寫 閣下的 香港身份證號碼或護照號碼(持有香港身份證者請填寫香港身份證號碼,否則請填寫護照號碼); 如屬法人團體,請填寫香港商業登記號碼。
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(3) Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the first-named applicant may be printed on your refund cheque (if any). Such data will be used for checking the validity of Application Form and such data would also be transferred to a third party for such purpose and refund purpose. Your banker may require verification of your Hong Kong Identity Card number/passport number before you can cash your refund cheque. 日後如需退回 申請股款,退款支票上或會印有 閣下或(如屬聯名申請人)排名首位申請人的香港身份證號 碼╱護照號碼的一部分。有關資料將用於核實申請表格的有效性,亦會轉交第三方作資料核實 和退款。銀行兌現退款支票前或會要求查證 閣下的香港身份證號碼╱護照號碼。
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(4) If an application is made by an unlisted company and:
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the principal business of that company is dealing in securities; and
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you exercise statutory control over that company,
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then the application will be treated as being made for your benefit. 倘若申請人是一家非上市公司,而:
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該公司主要從事證券買賣業務;及
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閣下對該公司可行使法定控制權,
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是項申請將視作為 閣下的利益提出。
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(5) All joint applicants must give (if they are individuals) their Hong Kong Identity Card numbers or, where applicable, passport numbers, or (if they are bodies corporate) their Hong Kong Business Registration numbers. 所有聯名申請人必須提供(如屬個別人士)其香港身份證號碼或(如適用) 護照號碼,或(如屬法人團體)其香港商業登記號碼。
This page is intentionally left blank 此乃白頁 特意留空
Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant
How to make your application
- Use the table below to calculate how much you must pay. Your application must be for a minimum of 8,000 Public Offer Shares and in one of the numbers set out in the table, or your application will be rejected.
8,000 Public Offer Shares and in one of the numbers set out in the table, or your application will be rejected. |
8,000 Public Offer Shares and in one of the numbers set out in the table, or your application will be rejected. |
8,000 Public Offer Shares and in one of the numbers set out in the table, or your application will be rejected. |
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| NUMBER OF PUBLIC OFFER SHARES THAT MAY BE APPLIED FOR AND PAYMENTS |
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| No. of Public Offer Shares applied for Amount payable on application HK$ |
No. of Public Offer Shares applied for Amount payable on application HK$ |
No. of Public Offer Shares applied for Amount payable on application HK$ |
| 8,000 4,040.31 16,000 8,080.62 24,000 12,120.92 32,000 16,161.23 40,000 20,201.54 48,000 24,241.85 56,000 28,282.16 64,000 32,322.46 72,000 36,362.77 80,000 40,403.08 120,000 60,604.62 |
160,000 80,806.16 200,000 101,007.70 240,000 121,209.24 280,000 141,410.78 320,000 161,612.32 360,000 181,813.86 400,000 202,015.40 600,000 303,023.10 800,000 404,030.80 1,000,000 505,038.50 2,000,000 1,010,077.00 |
3,000,000 1,515,115.50 4,000,000 2,020,154.00 5,000,000 2,525,192.50 6,000,000 3,030,231.00 7,000,000 3,535,269.50 8,000,000 4,040,308.00 9,000,000 4,545,346.50 10,000,000 5,050,385.00 20,000,000 10,100,770.00 Maximum number of Public Offer Shares you mayapplyfor. |
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You, as the applicant(s), must complete the form in English as indicated below and sign on the second page of the Application Form. Only written signatures will be accepted (and not by way of personal chop).
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If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant):
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the designated CCASS Participant must endorse the form with its company chop (bearing its company name) and insert its participant I.D. in the appropriate box.
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If you are applying as an individual CCASS Investor Participant:
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the form must contain your NAME and Hong Kong I.D. Card number;
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your participant I.D. must be inserted in the appropriate box.
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If you are applying as a joint individual CCASS Investor Participant:
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the form must contain all joint investor participants’ NAMES and the Hong Kong I.D. Card number of all joint investor participants;
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your participant I.D. must be inserted in the appropriate box.
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If you are applying as a corporate CCASS Investor Participant:
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the form must contain your company NAME and Hong Kong Business Registration number;
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your participant I.D. and your company chop (bearing your company name) must be inserted in the appropriate box.
Incorrect or omission of details of the CCASS Participant including participant I.D. and/or company chop bearing its company name or other similar matters may render your application invalid.
Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant
- Staple your cheque or banker’s cashier order to the form. Each application for the Public Offer Shares must be accompanied by either one separate cheque or one separate banker’s cashier order. Your application will be rejected if your cheque or banker’s cashier order does not meet all the following requirements:
The cheque must: Banker’s cashier order must:
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be in Hong Kong dollars;
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not be post-dated;
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be made payable to Ting Hong Nominees Limited — Bortex Global Public Offer ;
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• be crossed “Account Payee Only”;
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be drawn on your Hong Kong dollar bank • be issued by a licensed bank in Hong Kong, account in Hong Kong; and and have your name certified on the back by
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• show your account name, which must either be a person authorised by the bank. The name on pre-printed on the cheque, or be endorsed on the banker’s cashier order must correspond the back by a person authorised by the bank. with your name. If it is a joint application, the This account name must correspond with your name on the back of the banker’s cashier order name. If it is a joint application, the account must be the same as the first-named applicant’s name must be the same as the first-named name. applicant’s name.
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Tear off the Application Form, fold it once and lodge your completed Application Form (with cheque or banker’s cashier order attached) to one of the collection boxes at any of the following branches of:
DBS Bank (Hong Kong) Limited
Branch Name Address Hong Kong Island United Centre Branch Shops 1015–1018 on 1/F & Shop 2032–2034 on 2/F, United Centre, 95 Queensway, Admiralty Kowloon Canton Road — G/F, Hanley House, 68 Canton Road, DBS Treasures Centre Tsimshatsui Kowloon Bay — Shop 6, G/F, Chevalier Commercial Centre, SME Banking Centre 8 Wang Hoi Road, Kowloon Bay New Territories Kwai Chung Branch G/F, 1001 Kwai Chung Road, Kwai Chung
- Your Application Form can be lodged at these times:
— Tuesday, 31 October 2017 9:00 a.m. to 5:00 p.m. — Wednesday, 1 November 2017 9:00 a.m. to 5:00 p.m. — Thursday, 2 November 2017 9:00 a.m. to 5:00 p.m. Friday, 3 November 2017 — 9:00 a.m. to 12:00 noon
- The latest time for lodging your application is 12:00 noon on Friday, 3 November 2017. The application lists will be open between 11:45 a.m. and 12:00 noon on that day, subject only to the weather conditions, as described in “9. Effect of Bad Weather on the Opening of the Application Lists” in the “How to Apply for Public Offer Shares” section of the Prospectus.
如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股 份,並直接存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口,請使用本表格
申請手續
- 使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為 8,000 股公開發售股份,並為下 表所列的其中一個數目,否則不受理。
| 1. 使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為8,000股公開發售股份,並為下 表所列的其中一個數目,否則不受理。 |
1. 使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為8,000股公開發售股份,並為下 表所列的其中一個數目,否則不受理。 |
1. 使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為8,000股公開發售股份,並為下 表所列的其中一個數目,否則不受理。 |
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| 可供申請認購的公開發售股份數目及應繳款項 |
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| 申請認購的 公開發售 股份數目 申請時 應繳款項 港元 |
申請認購的 公開發售 股份數目 申請時 應繳款項 港元 |
申請認購的 公開發售 股份數目 申請時 應繳款項 港元 |
| 8,000 4,040.31 16,000 8,080.62 24,000 12,120.92 32,000 16,161.23 40,000 20,201.54 48,000 24,241.85 56,000 28,282.16 64,000 32,322.46 72,000 36,362.77 80,000 40,403.08 120,000 60,604.62 |
160,000 80,806.16 200,000 101,007.70 240,000 121,209.24 280,000 141,410.78 320,000 161,612.32 360,000 181,813.86 400,000 202,015.40 600,000 303,023.10 800,000 404,030.80 1,000,000 505,038.50 2,000,000 1,010,077.00 |
3,000,000 1,515,115.50 4,000,000 2,020,154.00 5,000,000 2,525,192.50 6,000,000 3,030,231.00 7,000,000 3,535,269.50 8,000,000 4,040,308.00 9,000,000 4,545,346.50 10,000,000 5,050,385.00 20,000,000 10,100,770.00 閣下可申請認購的公開發售股份最 高數目。 |
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閣下作為申請人,必須按照下列指示以英文填妥表格,並於申請表格次頁簽署,只接納親筆簽名(不 得以個人印章代替)。
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如 閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請:
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該指定中央結算系統參與者必須於表格蓋上公司印鑑(附有公司名稱),並在適當方格內填寫參 與者編號。
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如 閣下以個人中央結算系統投資者戶口持有人名義提出申請:
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表格須載有 閣下的姓名和香港身份證號碼;
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須在適當方格內填寫 閣下的參與者編號。
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如 閣下以聯名個人中央結算系統投資者戶口持有人名義提出申請:
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表格須載有所有聯名投資者戶口持有人的姓名和香港身份證號碼;
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須在適當方格內填寫 閣下的參與者編號。
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如 閣下以公司中央結算系統投資者戶口持有人名義提出申請:
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表格須載有 閣下的公司名稱和香港商業登記號碼;
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須在適當方格內填寫 閣下的參與者編號並蓋上公司印鑑(附有公司名稱)。
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中央結算系統參與者的資料(包括參與者編號及╱或顯示公司名稱之公司印鑑)或其他類似事項如 有不確或遺漏,均可能導致申請無效。
如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股 份,並直接存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口,請使用本表格
- 閣下須將支票或銀行本票釘於表格上。每份公開發售股份申請須附一張獨立開出支票或一張獨立開 出銀行本票。支票或銀行本票必須符合以下所有規定,否則 閣下的認購申請不獲接納:
| 支票必須: |
銀行本票必須: |
| • 為港元; • 不得為期票; • 註明抬頭人為鼎康代理人有限公司 — 濠亮環球公開發售; • 劃線註明「只准入抬頭人賬戶」; |
|
| • 從 閣下在香港的港元銀行賬戶中開出;及 • 顯示 閣下的賬戶名稱,而該賬戶名稱必須 已預印在支票上,或由有關銀行授權的人士 在支票背書。賬戶名稱必須與 閣下姓名╱名 稱相同。如屬聯名申請,該賬戶名稱必須與 排名首位申請人的姓名╱名稱相同。 |
• 須由香港持牌銀行開出,並由有關銀行授 權的人士在銀行本票背面簽署核證 閣下 姓名╱名稱。銀行本票所示姓名╱名稱必須 與 閣下姓名╱名稱相同。如屬聯名申請, 銀行本票背面所示姓名╱名稱必須與排名首 位申請人的姓名╱名稱相同。 |
- 請撕下申請表格,對摺一次,然後將填妥的申請表格(連同支票或銀行本票)投入下列任何一家分 行特設的收集箱:
星展銀行(香港)有限公司
分行名稱 地址 香港島 統一中心分行 金鐘金鐘道 95 號統一中心 1 樓 1015[—] 1018 號舖 及 2 樓 2032[—] 2034 號舖 九龍 廣東道[—] 尖沙咀廣東道 68 號 星展豐盛理財中心 恒利大廈地下 九龍灣[—] 中小企業銀行 九龍灣宏開道 8 號其士 商業中心地下商場 6 號舖 新界 葵涌分行 葵涌葵涌道 1001 號地下
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閣下可於下列時間遞交申請表格:
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二零一七年十月三十一日(星期二)[—] 上午九時正至下午五時正 二零一七年十一月一日(星期三)[—] 上午九時正至下午五時正 二零一七年十一月二日(星期四)[—] 上午九時正至下午五時正 二零一七年十一月三日(星期五)[—] 上午九時正至中午十二時正
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- 截止遞交申請的時間為二零一七年十一月三日(星期五)中午十二時正。本公司將於當日上午十一 時四十五分至中午十二時正期間登記認購申請,唯一會影響此時間的變化因素為當日的天氣情況(詳 見招股章程「如何申請公開發售股份」一節「9. 惡劣天氣對辦理申請登記的影響」)。
Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant
Bortex Global Limited
(incorporated in the Cayman Islands with limited liability)
SHARE OFFER
Conditions of your application
- confirm that you have read the terms and conditions and application procedures set out in the Prospectus and in this
A. Who can apply
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You and any person(s) for whose benefit you are applying must Application Form and agree to be bound by them; be 18 years of age or older and must have a Hong Kong address. • confirm that you have received and read the Prospectus and have
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If you are a firm, the application must be in the individual only relied on the information and representations contained members’ names. in the Prospectus in making your application and will not rely
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The number of joint applicants may not exceed 4. on any other information or representations except those in any 4. If you are a body corporate, the application must be signed by supplement to the Prospectus;
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If you are a body corporate, the application must be signed by supplement to the Prospectus; a duly authorised officer, who must state his representative • confirm that you are aware of the restrictions on the Share Offer capacity, and stamped with your corporation’s chop. in the Prospectus;
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You must be outside the United States, not be a United States • agree that none of the Company, the Sponsor, the Sole Global Person (as defined in Regulation S under the U.S. Securities Coordinator, the Underwriters, their respective directors, Act) and not be a legal or natural person of the PRC. officers, employees, partners, agents, advisers and any other
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Unless permitted by the GEM Listing Rules, you cannot apply parties involved in the Share Offer is or will be liable for any for any Public Offer Shares if you are: information and representations not in the Prospectus (and any
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an existing beneficial owner of shares in the Company and/ supplement to it); or any of its subsidiaries; • undertake and confirm that you or the person(s) for whose
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• a Director or chief executive officer of the Company and/or benefit you have made the application have not applied for or any of its subsidiaries; taken up, or indicated an interest for, and will not apply for or
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• a connected person (as defined in the GEM Listing Rules) take up, or indicate an interest for, any Placing Shares under the of the Company or will become a connected person of the Placing nor participated in the Placing;
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a connected person (as defined in the GEM Listing Rules) take up, or indicate an interest for, any Placing Shares under the of the Company or will become a connected person of the Placing nor participated in the Placing; Company immediately upon completion of the Share Offer; • agree to disclose to the Company, our Hong Kong Branch
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• an associate (as defined in the GEM Listing Rules) of any of Share Registrar, receiving banks, the Sponsor, the Sole Global the above; or Coordinator, the Underwriters and/or their respective advisers
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• have been allocated or have applied for or indicated an and agents any personal data which they may require about interest in any Placing Shares under the Placing. you and the person(s) for whose benefit you have made the application;
B. If you are a nominee
- if the laws of any place outside Hong Kong apply to your application, agree and warrant that you have complied with all such laws and none of the Company, the Sponsor, the Sole Global Coordinator and the Underwriters nor any of their respective officers or advisers will breach any law outside Hong Kong as a result of the acceptance of your offer to purchase, or any action arising from your rights and obligations under the terms and conditions contained in the Prospectus and this Application Form;
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You, as a nominee, may make more than one application for the Public Offer Shares by: (i) giving electronic application instructions to HKSCC via Central Clearing and Settlement System (“CCASS”) (if you are a CCASS Participant); or (ii) using a WHITE or YELLOW Application Form, and lodge more than one application in your own name on behalf of different beneficial owners.
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C. Effect of completing and submitting this Application Form By completing and submitting this Application Form, you (and if you are joint applicants, each of you jointly and severally) for yourself or as an agent or a nominee on behalf of each person for whom you act:
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agree that once your application has been accepted, you may not rescind it because of an innocent misrepresentation;
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agree that your application will be governed by the laws of Hong Kong;
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represent, warrant and undertake that (i) you understand that the Public Offer Shares have not been and will not be registered under the U.S. Securities Act; and (ii) you and any person for whose benefit you are applying for the Public Offer Shares are outside the United States (as defined in Regulation S) or are a person described in paragraph (h)(3) of Rule 902 of Regulation S;
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undertake to execute all relevant documents and instruct and authorise the Company, the Sponsor and the Sole Global Coordinator (or their agents or nominees), as agents of the Company, to execute any documents for you and to do on your behalf all things necessary to register any Public Offer Shares allocated to you in the name of HKSCC Nominees as required by the Articles of Association;
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warrant that the information you have provided is true and accurate;
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agree to comply with the Companies Ordinance (Chapter 622 of the Laws of Hong Kong), the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Chapter 32 of the Laws of Hong Kong) and the Articles of Association;
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agree to accept the Public Offer Shares applied for, or any lesser number allocated to you under the application;
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authorise the Company to place the name of the HKSCC Nominees on the Company’s register of members as the holder(s) of any Public Offer Shares allocated to you, and the Company and/or its agents to deposit any share certificate(s)
Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant
Applications for Public Offer Shares will not be processed and no allotment of any Public Offer Shares will be made until the application lists close.
into CCASS and/or to send any refund cheque(s) to you or the firstnamed applicant for joint application by ordinary post at your own risk to the address stated on the application, unless you have chosen to collect refund cheque(s) in person;
The Company expects to announce the fixed offer price, the indication of the level of interest in the Placing, the level of applications under the Public Offer and the basis of allocation of the Public Offer on Wednesday, 15 November 2017 on the website of the Hong Kong Stock Exchange at www.hkexnews.hk and the Company’s website at www.bortex.com.cn . Results of allocations in Public Offer, and the Hong Kong Identity Card/passport/Hong Kong business registration numbers of successful applicants (where applicable) will be available on the above websites.
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agree that the shares to be allotted shall be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your investor participant stock account or the stock account of your designated CCASS Participant;
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agree that each of HKSCC and HKSCC Nominees reserves the right (1) not to accept any or part of such allotted shares issued in the name of HKSCC Nominees or not to accept such allotted shares for deposit into CCASS; (2) to cause such allotted shares to be withdrawn from CCASS and issued in your name at your own risk and costs; and (3) to cause such allotted shares to be issued in your name (or, if you are a joint applicant, to the firstnamed applicant) and in such a case, to post the certificates for such allotted shares at your own risk to the address on your application form by ordinary post or to make available the same for your collection;
If your application for Public Offer Shares is successful (in whole or in part)
If your application is wholly or partially successful, your share certificate(s) (subject to their becoming valid certificates of title provided that the Public Offer has become unconditional and not having been terminated at 8:00 a.m. on Thursday, 16 November 2017) will be issued in the name of HKSCC Nominees and deposited directly into CCASS for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant as instructed by you in your Application Form on Wednesday, 15 November 2017 or, in the event of a contingency, on any other date as shall be determined by HKSCC or HKSCC Nominees.
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agree that each of HKSCC and HKSCC Nominees may adjust the number of allotted shares issued in the name of HKSCC Nominees;
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agree that neither HKSCC nor HKSCC Nominees shall have any liability for the information and representations not so contained in the Prospectus and this application form;
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agree that neither HKSCC nor HKSCC Nominees shall be liable • If you are applying through a designated CCASS Participant (other to you in any way; than a CCASS Investor Participant): For Public Offer Shares
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• declare and represent that this is the only application made and credited to the stock account of your designated CCASS Participant the only application intended by me/us to be made to benefit (other than a CCASS Investor Participant), you can check the me/us or the person for whose benefit I am/we are applying; number of Public Offer Shares allotted to you with that CCASS
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• understand that the Company , the Directors, the Sponsor and Participant.
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understand that the Company , the Directors, the Sponsor and the Sole Global Coordinator will rely on your declarations • and representations in deciding whether or not to make any allotment of any of the Public Offer Shares to you and that you may be prosecuted for making a false declaration;
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If you are applying as a CCASS Investor Participant: The Company expects to publish the results of CCASS Investor Participants’ applications together with the results of the Public Offer on the Company’s website at www.bortex.com.cn and the website of the Hong Kong Stock Exchange at www.hkexnews.hk on Wednesday, 15 November 2017. You should check the announcement published by the Company and report any discrepancies to HKSCC before 5:00 p.m. on Wednesday, 15 November 2017 or such other date as shall be determined by HKSCC or HKSCC Nominees. Immediately after the credit of the Public Offer Shares to your stock account you can check your new account balance via the CCASS Phone System and CCASS Internet System (under the procedures contained in HKSCC’s “An Operating Guide for Investor Participants” in effect from time to time). HKSCC will also make available to you an activity statement showing the number of Public Offer Shares credited to your stock account.
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(if the application is made for your own benefit) warrant that no other application has been or will be made for your benefit on a WHITE or YELLOW Application Form or by giving electronic application instructions to HKSCC by you or by any one as your agent or by any other person; and
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(if you are making the application as an agent for the benefit of another person) warrant that (i) no other application has been or will be made by you as agent for or for the benefit of that person or by that person or by any other person as agent for that person on a WHITE or YELLOW Application Form or by giving electronic application instructions to HKSCC; and (ii) you have due authority to sign the Application Form or give electronic application instructions on behalf of that other person as their agent.
No receipt will be issued for application money paid. The Company will not issue temporary documents of title.
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D. Power of attorney
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If your application is made through an authorised attorney, the Company, the Sponsor and the Sole Global Coordinator may accept or reject your application at their discretion, and on any conditions they think fit, including evidence of the attorney’s authority.
Determination of Offer Price and Allocation of Public Offer Shares The Offer Price is expected to be fixed on or around Tuesday, 7 November 2017. Applicants are required to pay the maximum Offer Price of HK$0.5 for each Public Offer Share together with 1% brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee. If the Offer Price is not agreed between the Company, and the Sole Global Coordinator (for itself and on behalf of the Underwriters) on or before Monday, 13 November 2017, the Share Offer will not proceed.
Refund of your money
If you do not receive any Public Offer Shares or if your application is accepted only in part, the Company will refund to you your application monies (including the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee) without interest. If the offer price is less than the maximum Offer Price, the Company will refund to you the surplus application monies (including the related 1% brokerage, 0.0027% SFC transaction levy and 0.005% Hong Kong Stock Exchange trading fee) without interest.
The refund procedures are stated in the “13. Despatch/Collection of share certificates and refund monies” in the “How to Apply for Public Offer Shares” section of the Prospectus.
如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股 份,並直接存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口,請使用本表格
濠亮環球有限公司[*] (於開曼群島註冊成立的有限公司)
股份發售
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確認 閣下已接獲及細閱招股章程,提出申 請時也僅依據招股章程載列的資料及陳述,
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可提出申請的人士 而除招股章程任何補充文件外,不會依賴任
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- 閣下及 閣下為其利益提出申請的人士必須 何其他資料或陳述;
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年滿 18 歲並有香港地址。 • 確認 閣下知悉招股章程內有關股份發售的
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- 如 閣下為商號,申請須以個別成員名義提 限制;
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出。 • 同意本公司、保薦人、獨家全球協調人、包
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- 聯名申請人不得超過四名。 銷商、彼等各自的董事、高級職員、僱員、
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- 如 閣下為法人團體,申請須經獲正式授權 合夥人、代理、顧問及參與股份發售的任何
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人員簽署,並註明其所屬代表身份及蓋上公 其他人士現時及日後均毋須對並非載於招股 司印鑑。 章程(及其任何補充文件)的任何資料及陳述
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- 閣下必須身處美國境外,並非美國籍人士(定 負責; 義見美國《證券法》S 規例),亦非中國法人或 • 承諾及確認 閣下或 閣下為其利益提出申 自然人。 請的人士並無申請或接納或表示有意認購,
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- 除創業板《上市規則》批准外,下列人士概不 亦不會申請或接納或表示有意認購配售下的 得申請認購任何公開發售股份: 任何配售股份,也沒有參與配售; • 本公司及╱或其任何附屬公司股份的現 • 同意在本公司、香港股份過戶登記分處、收 有實益擁有人; 款銀行、保薦人、獨家全球協調人、包銷商
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• 本公司及╱或其任何附屬公司董事或行 及╱或彼等各自的顧問及代理提出要求時, 政總裁; 向彼等披露其所要求提供有關 閣下及 閣
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• 本公司關連人士(定義見創業板上市規則) 下為其利益提出申請的人士的個人資料; 或緊隨股份發售結束後將成為本公司關 • 若香港境外任何地方的法例適用於 閣下的 連人士; 申請,則同意及保證 閣下已遵守所有有關
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• 上述任何人士的聯繫人(定義見創業板上 法例,且本公司、保薦人、獨家全球協調人 市規則);或 及包銷商和彼等各自的高級職員或顧問概不
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• 已獲分配或已申請或表示有意申請配售 會因接納 閣下的購買要約,或 閣下在招 股章程及本申請表格所載的條款及條件項下
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下的任何配售股份的人士。 的權利及責任所引致的任何行動,而違反香 港境外的任何法例;
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如 閣下為代名人 • 同意 閣下的申請一經接納,即不得因無意
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閣下作為代名人可提交超過一份公開發售股份申 的失實陳述而撤銷;
申請條件
甲、可提出申請的人士
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乙、如 閣下為代名人
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閣下作為代名人可提交超過一份公開發售股份申 請,方法是:(i) 透過中央結算及交收系統(「中央 結算系統」)向香港結算發出 電子認購指示 (如 閣 下為中央結算系統參與者);或 (ii) 使用 白色 或 黃 色 申請表格以自身名義代表不同的實益擁有人提 交超過一份申請。
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丙、填交本申請表格的效用 閣下填妥並遞交本申請表格,即表示 閣下(如 屬聯名申請人,即各人共同及個別)代表 閣下 本身,或作為 閣下代其行事的每位人士的代理 或代名人: • 承諾促使所有相關文件生效,並指示及授權 本公司、保薦人及獨家全球協調人(或彼等的 代理或代名人)作為本公司代理,代表 閣下 促使任何文件生效,並為按照組織章程細則 的規定代表 閣下將 閣下獲分配的任何公 開發售股份以香港結算代理人的名義登記;
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同意 閣下的申請受香港法例規管;
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聲明、保證及承諾:(i) 閣下明白公開發售 股份不曾亦不會根據美國《證券法》登記;及 (ii) 閣下及 閣下為其利益申請公開發售股 份的任何人士均身處美國境外(定義見 S 規 例),或屬 S 規例第 902 條第 (h)(3) 段所述的人 士;
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保證 閣下提供的資料真實及準確;
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同意接納所申請數目或根據申請分配予 閣 下但數目較少的公開發售股份;
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授權本公司將香港結算代理人的名稱列入本 公司股東名冊,作為 閣下獲分配的任何公 開發售股份的持有人,並授權本公司及╱或 其代理將任何股票存入中央結算系統及╱或 以普通郵遞方式按申請所示地址向 閣下或 聯名申請的首名申請人發送任何退款支票, 郵誤風險由 閣下承擔,除非 閣下已選擇 親身領取退款支票;
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同意遵守香港法例第 622 章公司條例、香港法 例第 32 章《公司(清盤及雜項條文)條例》及組 織章程細則;
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• 確認 閣下已細閱招股章程及本申請表格所 載的條款及條件以及申請程序,並同意受其 約束;
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同意獲配發的股份是以香港結算代理人的名 義發行,並直接存入中央結算系統,以便記 存於 閣下的中央結算系統投資者戶口持有 人股份戶口或 閣下的指定中央結算系統參 與者股份戶口;
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僅供識別
如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股 份,並直接存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口,請使用本表格
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同意香港結算及香港結算代理人各自保留權 截止登記認購申請前概不處理公開發售股份的申請或 利 (1) 不接納以香港結算代理人名義發行的 配發任何公開發售股份。 該等獲配發的任何或部分股份,或不接納該 本公司預期於二零一七年十一月十五日(星期三)在 等獲配發的股份存入中央結算系統;(2) 促使 香港聯交所網站 ( www.hkexnews.hk ) 及本公司網站 該等獲配發的股份從中央結算系統提取,並 ( www.bortex.com.cn ) 公布協定發售價、配售踴躍程 轉入 閣下名下,有關風險及費用概由 閣 度、公開發售認購水平及公開發售分配基準。公開 下自行承擔;及 (3) 促使該等獲配發的股份 發售的分配結果以及成功申請人的香港身份證╱護 以 閣下名義發行(或如屬聯名申請人,則 照╱香港商業登記號碼(如適用)亦同於上述網站公 以排名首位申請人的名義發行),而在此情況 布。 下,會以普通郵遞方式將該等獲配發股份的 股票寄往 閣下在申請表格上所示地址(郵誤 如 閣下成功申請認購公開發售股份(全部或部分) 風險概由 閣下自行承擔)或提供該等股票 如 閣下的申請全部或部分獲接納, 閣下的股票 予 閣下領取; (前提是到二零一七年十一月十六日(星期四)上午八
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• 同意香港結算及香港結算代理人均可調整獲 時正公開發售成為無條件而並無終止,股票成為有 配發以香港結算代理人名義發行的股份數目; 效的所有權證明)將以香港結算代理人名義發出,並
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• 同意香港結算及香港結算代理人對招股章程 按 閣下在申請表格的指示於二零一七年十一月十五 及本申請表格未有載列的資料及陳述概不負 日(星期三)或在特別情況下由香港結算或香港結算 責; 代理人指定的任何其他日期直接存入中央結算系統,
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• 同意香港結算及香港結算代理人概不以任何 記入 閣下的中央結算系統投資者戶口持有人股份戶 方式對 閣下負責; 口或 閣下指定的中央結算系統參與者股份戶口。
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• 聲明及表示此乃本人╱吾等為本身或本人╱吾 • 如 閣下透過中央結算系統投資者戶口持有人以 等為其利益提出申請的人士提出及擬提出的 外的指定中央結算系統參與者提出申請:公開發 唯一申請; 售股份將存入 閣下指定的中央結算系統參與
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• 明白本公司、董事、保薦人及獨家全球協調 者(非中央結算系統投資者戶口持有人)股份戶 人將依據 閣下的聲明及陳述而決定是否 口, 閣下可向該中央結算系統參與者查詢 閣 向 閣下分配任何公開發售股份, 閣下如作 下獲配發的公開發售股份數目。 出虛假聲明,可能會被檢控; • 如 閣下以中央結算系統投資者戶口持有
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• (如本申請是為 閣下本身利益提出)保 人身份提出申請:本公司預期於香港聯交 證 閣下或作為 閣下代理的任何人士或任 所網站 ( www.hkexnews.hk ) 及本公司網站 何其他人士不曾亦不會為 閣下利益而以 白 ( www.bortex.com.cn ) 刊登中央結算系統投資者 色 或 黃色 申請表格或向香港結算發出 電子認 戶口持有人的申請結果及公開發售的結果。 閣 購指示 而提出其他申請;及 下應查閱本公司刊發的公告,如有任何資料不
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• (如 閣下作為代理為另一人士的利益提出申 符,請於二零一七年十一月十五日(星期三)下午 請)保證 (i) 閣下(作為代理或為該人士利益) 五時正之前或香港結算或香港結算代理人釐定的 或該人士或任何其他作為該人士代理的人士 任何其他日期知會香港結算。在公開發售股份存 不曾亦不會以 白色 或 黃色 申請表格或向香港 入 閣下的股份戶口後, 閣下即可透過「結算通」 結算發出 電子認購指示 而提出其他申請;及 電話系統及中央結算系統互聯網系統(根據香港 (ii) 閣下獲正式授權作為該人士的代理代為 結算不時生效的《投資者戶口操作簡介》所載程序) 。
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簽署本申請表格或發出 電子認購指示 查詢 閣下的新戶口結餘。香港結算亦將向 閣 下提供一份活動結單,列出存入 閣下股份戶口
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授權書 的公開發售股份數目。
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(如 閣下作為代理為另一人士的利益提出申 請)保證 (i) 閣下(作為代理或為該人士利益) 或該人士或任何其他作為該人士代理的人士 不曾亦不會以 白色 或 黃色 申請表格或向香港 結算發出 電子認購指示 而提出其他申請;及 (ii) 閣下獲正式授權作為該人士的代理代為 。
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簽署本申請表格或發出 電子認購指示
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丁、授權書 如 閣下透過授權人士提出申請,本公司、保薦 人及獨家全球協調人可按其認為合適的條件(包 括出示獲授權證明)酌情接納或拒絕 閣下的申 請。
本公司不會就申請時繳付的款項發出收據,亦不會發 出臨時所有權文件。
退回款項
若 閣下未獲分配任何公開發售股份或申請僅部分獲 接納,本公司將不計利息退回 閣下的申請股款(包 括相關的 1% 經紀佣金、0.0027% 證監會交易徵費及 0.005% 香港聯交所交易費)。如最終釐定的發售價低 於最高發售價,本公司將不計利息退回多收申請股款 (包括相關的 1% 經紀佣金、0.0027% 證監會交易徵費 及 0.005% 香港聯交所交易費)。
釐定發售價及公開發售股份的分配
預期發售價於二零一七年十一月七日(星期二)或前 後釐定。申請人須繳付每股公開發售股份 0.5 港元的 最高發售價,另加 1% 經紀佣金、0.0027% 證監會交 易徵費及 0.005% 香港聯交所交易費。倘若本公司與 獨家全球協調人(為其本身及代表包銷商)並無於二 零一七年十一月十三日(星期一)或之前協定發售價, 股份發售將不會進行。
有關退款程序載於招股章程「如何申請公開發售股份」 一節「13. 發送╱領取股票及退回股款」一段。
Please use this form if you want the Public Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant
Personal Data
Personal Information Collection Statement
This Personal Information Collection Statement informs the applicant for, and holder of, Public Offer Shares, of the policies and practices of the Company and the Hong Kong Branch Share Registrar in relation to personal data and the Personal Data (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong) (the “Ordinance”).
**3. Transfer of personal data** Personal data held by the Company and its Hong Kong Branch Share Registrar relating to the securities holders will be kept confidential but the Company and its Hong Kong Branch Share Registrar may, to the extent necessary for achieving any of the above purposes, disclose, obtain or transfer (whether within or outside Hong Kong) the personal data to, from or with any of the following:
1. Reasons for the collection of your personal data above purposes, disclose, obtain or transfer (whether It is necessary for applicants and registered holders within or outside Hong Kong) the personal data to, of securities to supply correct personal data to the from or with any of the following: Company or its agents and the Hong Kong Branch • the Company’s appointed agents such as Share Registrar when applying for securities or financial advisers, receiving bankers and transferring securities into or out of their names or overseas principal share registrar; in procuring the services of the Hong Kong Branch • where applicants for securities request a deposit Share Registrar. into CCASS, HKSCC or HKSCC Nominees,
Failure to supply the requested data may result in who will use the personal data for the purposes
your application for securities being rejected, or in of operating CCASS;
delay or the inability of the Company or its Hong • any agents, contractors or third-party
Kong Branch Share Registrar to effect transfers or service providers who offer administrative,
otherwise render their services. It may also prevent telecommunications, computer, payment or
or delay registration or transfers of the Public Offer other services to the Company or the Hong
Shares which you have successfully applied for and/ or the dispatch of share certificate(s) and/or refund Kong Branch Share Registrar in connection cheque(s) to which you are entitled. with their respective business operation; It is important that securities holders inform • the Hong Kong Stock Exchange, the SFC and the Company and the Hong Kong Branch Share any other statutory regulatory or governmental Registrar immediately of any inaccuracies in the bodies or otherwise as required by laws, rules personal data supplied. or regulations; and
2. Purposes • any persons or institutions with which the securities’ holders have or propose to have
The personal data of the securities holders may be used, held, processed, and/or stored (by whatever dealings, such as their bankers, solicitors, accountants or stockbrokers etc.
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The personal data of the securities holders may be used, held, processed, and/or stored (by whatever means) for the following purposes:
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processing your application and refund cheque, where applicable, verification of compliance 4. Retention of personal data with the terms and application procedures set out in this Application Form and the Prospectus and announcing results of allocation of the Public Offer Shares;
The Company and its Hong Kong Branch Share Registrar will keep the personal data of the applicants and holders of securities for as long as necessary to fulfil the purposes for which the personal data were collected. Personal data which is no longer required will be destroyed or dealt with in accordance with the Ordinance.
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c o m p l i a n c e w i t h a p p l i c a b l e l a w s a n d regulations in Hong Kong and elsewhere;
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• registering new issues or transfers into or out of the names of securities’ holders including, where applicable, HKSCC Nominees;
5. Access to and correction of personal data Securities holders have the right to ascertain whether the Company or the Hong Kong Branch Share Registrar hold their personal data, to obtain a copy of that data, and to correct any data that is inaccurate. The Company and the Hong Kong Branch Share Registrar have the right to charge a reasonable fee for the processing of such requests. All requests for access to data or correction of data should be addressed to us, at our registered address disclosed in the “Corporate Information” section of the Prospectus or as notified from time to time, for the attention of the company secretary, or our Hong Kong Branch Share Registrar for the attention of the privacy compliance officer.
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maintaining or updating the register of securities’ holders of the Company;
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• verifying securities holders’ identities; • establishing benefit entitlements of securities’ holders of the Company, such as dividends, rights issues, bonus issues, etc.;
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• distributing communications from the Company and its subsidiaries;
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• compiling statistical information and securities’ holders profiles;
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• disclosing relevant information to facilitate claims on entitlements; and
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any other incidental or associated purposes relating to the above and/or to enable the Company and the Hong Kong Branch Share Registrar to discharge their obligations to securities’ holders and/or regulators and/or any other purposes to which the securities’ holders may from time to time agree.
By signing an Application Form or by giving electronic application instructions to HKSCC, you agree to all of the above.
如 閣下欲以香港中央結算(代理人)有限公司(「香港結算代理人」)的名義登記將獲發行的公開發售股 份,並直接存入中央結算及交收系統(「中央結算系統」),以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口,請使用本表格
個人資料
個人資料收集聲明
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此項個人資料收集聲明是向公開發售股份的申請 3. 轉交個人資料 人和持有人說明有關本公司及其香港股份過戶登 本公司及其香港股份過戶登記分處所持有關 記分處有關個人資料和香港法例第 486 章《個人資 證券持有人的個人資料將會保密,但本公司 料(私隱)條例》(「《條例》」)方面的政策和慣例。 及其香港股份過戶登記分處可以在為達到上 述任何目的之必要情況下,向下列任何人士
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1. 收集 閣下個人資料的原因 披露,獲取或轉交(無論在香港境內或境外) 證券申請人及登記持有人以本身名義申請證 有關個人資料: 券或轉讓或受讓證券時或尋求香港股份過戶 • 本公司委任的代理人,例如財務顧問、 登記分處的服務時,必須向本公司或其代理 收款銀行和主要海外股份過戶登記處; 人及香港股份過戶登記分處提供準確個人資 • (如證券申請人要求將證券存於中央結算 料。 系統)香港結算或香港結算代理人;彼等 未能提供所要求的資料可能導致 閣下申請 將會就中央結算系統的運作使用有關個 證券被拒或延遲,或本公司或其香港股份過 人資料; 戶登記分處無法落實轉讓或提供服務。此舉 • 向本公司或香港股份過戶登記分處提供 也可能妨礙或延遲登記或轉讓 閣下成功申 與其各自業務營運有關的行政、電訊、 請的公開發售股份及╱或寄發 閣下應得的 電腦、付款或其他服務的任何代理人、 股票及╱或退款支票。 承包商或第三方服務供應商; 證券持有人所提供的個人資料如有任何錯 • 香港聯交所、證監會及任何其他法定監 誤,須立即通知本公司及香港股份過戶登記 管機關或政府部門或遵照其他法例、規 分處。 則或法規;及 • 證券持有人與其進行或擬進行交易的任
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2. 目的 何人士或機構,例如彼等的銀行、律師、 證券持有人的個人資料可被採用及以任何方 會計師或股票經紀等。 式持有、處理及╱或保存,以作下列用途: • 處理 閣下的申請及退款支票(如適用)、 4. 個人資料的保留 核實是否符合本申請表格及招股章程載 本公司及其香港股份過戶登記分處將按收集 列的條款和申請序以及公布公開發售股 個人資料所需的用途保留證券申請人及持有 份的分配結果; 人的個人資料。無需保留的個人資料將會根
- 本公司及其香港股份過戶登記分處將按收集 個人資料所需的用途保留證券申請人及持有 人的個人資料。無需保留的個人資料將會根 據條例銷毀或處理。
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遵守香港及其他地區的適用法律規;
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以證券持有人(包括香港結算代理(如適 用))的名義登記新發行證券或轉讓受讓 證券;
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• 存置或更新本公司證券持有人的名冊; • 核實證券持有人的身份; • 確定本公司證券持有人的受益權利,例 如股息、供股和紅股等;
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• 分發本公司及其附屬的通訊; • 編製統計數據和證券持有人資料;
5. 查閱和更正個人資料
- 證券持有人有權確定本公司或香港股份過戶 登記分處是否持有其個人資料,並有權索取 有關該資料的副本並更正任何不準確資料。 本公司和香港股份過戶登記分處有權就處理 任何查閱資料的要求收取合理費用。 所有查閱資料或更正資料的要求應按招股章 程「公司資料」一節所披露或不時通知的本公 司註冊地址送交公司秘書,或向本公司的香 港股份過戶登記分處的個人資料私隱事務主 任提出。
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披露有關資料以便就權益索償;及
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與上述有關的任何其他附帶或相關目的 及╱或使本公司及香港股份過戶登記分 處能履行對證券持有人及╱或監管機構 承擔的責任及╱或證券持有人不時同意 的任何其他目的。
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閣下簽署申請表格或向香港結算發出電子認購指 示,即表示同意上述各項。