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Charmacy Pharmaceutical Co., Ltd. — Share Issue/Capital Change 2015
Dec 1, 2015
50500_rns_2015-12-01_ea52a310-5afd-46bb-8954-7da5b3f6a2b9.pdf
Share Issue/Capital Change
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Please use this form if you want the Hong Kong 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 香港發售股份,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的股份戶口,請使用本表格
Staple your This Application Form uses the same terms as defined in the prospectus of Chuangmei Pharmaceutical Co., Ltd (the “ Company ”) dated 2 December 2015 (the “ Prospectus ”). 本申請表格使用創美藥業股份有限公司(「 本公司 」)於2015 payment 年12月2日刊發的招股說明書(「 招股說明書 」)所界定的詞語。 here Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong 請將股款 Kong Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may not be offered or sold in 緊釘在此 the United States without registration or an exemption from registration under the U.S. Securities Act. 本申請表格及招股 說明書概不構成在香港以外司法權區要約出售或游說要約購買香港發售股份。若無根據美國證券法登記或豁免登 記,香港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說明書的司法權區內概不得發送或派 發或複製(不論方式,亦不論全部或部分)本申請表格及招股說明書。
Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar of Companies and Available for Inspection” section in Appendix VIII to the Prospectus, have been registered by the Registrar of Companies in 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. 招股說明書、所有相關申請表格及招股說明書附錄八「送呈公司註 冊處處長及備查文件」一節所述其他文件已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。 CHUANGMEI PHARMACEUTICAL CO., LTD.[*] 創美藥業股份有限公司 (a joint stock limited liability company established in the People’s Republic of China) (於中華人民共和國註冊成立的股份有限公司) Stock code : 2289 股份代號 : 2289 Maximum Offer Price : HK$8.60 per Hong Kong Offer Share, plus brokerage fee of 1.0%, SFC transaction levy of 0.0027% and 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 : 每股香港發售股份8.60港元,另加1.0%經紀佣 金、0.0027%證監會交易徵費及0.005%聯交所 交易費(須於申請時以港元繳足,多繳款項將予 退還) You should read this Application Form in conjunction with the Prospectus, which contains further information on 一 , 一 。 the application procedures. 招股說明書尚有關於申請程序的進 步資料 本申請表格應與招股說明書 併閱讀 Application Form 申請表格
To: Chuangmei Pharmaceutical Co., Ltd. Sole Global Coordinator The Hong Kong 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. 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.
致: 創美藥業股份有限公司 獨家全球協調人 香港包銷商 申請人聲明
本人╱吾等同意本申請表格及招股說明書的條款及條 件以及申請程序。見本申請表格「填寫及遞交本申請 表格的效用」一節。
一 警告:任何人士只限作出 次為其利益而進行的認購 。 一 申請 請參閱「填寫及遞交本申請表格的效用」 節最 後四點。
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For identification purpose only
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- 僅供識別
Please use this form if you want the Hong Kong 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 香港發售股份,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的股份戶口,請使用本表格
Signed by (all) applicant(s) (all joint applicants must sign): 由(所有)申請人簽署(所有聯名申請人必須簽署):
Date: 日期: / / D 日 M 月 Y 年
Number of Hong Kong Offer Shares applied for (not more than 1,400,000 H shares) 申請香港發售股份數目(不超過1,400,000股H股)
For Broker use 此欄供經紀填寫 Lodged by 遞交申請的經紀 Broker No. 經紀號碼 Broker’s Chop 經紀印章 Cheque/banker’s cashier order number 支票╱銀行本票號碼
Name of bank on which cheque/Banker’s cashier order is drawn (see “How to make your application” section) 兌現支兌現支 票╱銀行本票的銀行名稱(見「申請手續」一節)
Total amount 總額 drawn (see “How to make your application” section) 兌現支兌現支 HK$ 港元 票╱銀行本票的銀行名稱(見「申請手續」一節) 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) Hong Kong Identity Card No./Passport No./Hong Kong Business Names of all other joint applicants in English (if any) 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 1) 號碼╱香港商業登記號碼(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及電話號碼) Telephone No. 電話號碼 For Nominees: You will be treated as applying for your own benefit THIS BOX MUST BE DULY COMPLETED if you do not complete this section. Please provide an account 必須填妥此欄 Participant I.D. of the CCASS Investor Participant or number or identification code for each (joint) beneficial owner. designated CCASS Participant 中央結算系統投資者戶口持 由代名人遞交:代名人若不填寫本節,是項申請將視作 有人或指定的中央結算系統參與者的參與者編號 為 閣下本身利益提出。請填寫每名(聯名)實益擁有人的賬 戶號碼或識別編碼。
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鑑
ADDRESS LABEL 地址標貼 ( Your name(s) and address in Hong Kong in BLOCK letters 請用 正楷 填寫 姓名╱名稱 及香 港 地址 )
(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 Hong Kong 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 香港發售股份,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的股份戶口,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(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. 退款支票(如有)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: • the principal business of that company is dealing in securities; and • you exercise statutory control over that company, 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: ‧ 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 Hong Kong 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 500 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected.
| CHUANGMEI PHARMACEUTICAL CO., LTD. (HK$8.60 per Hong Kong Offer Share) NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS |
CHUANGMEI PHARMACEUTICAL CO., LTD. (HK$8.60 per Hong Kong Offer Share) NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS |
CHUANGMEI PHARMACEUTICAL CO., LTD. (HK$8.60 per Hong Kong Offer Share) NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS |
CHUANGMEI PHARMACEUTICAL CO., LTD. (HK$8.60 per Hong Kong Offer Share) NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS |
CHUANGMEI PHARMACEUTICAL CO., LTD. (HK$8.60 per Hong Kong Offer Share) NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS |
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| Number of Hong Kong Offer Shares applied for Amount payable on application HK$ |
Number of Hong Kong Offer Shares applied for |
Amount payable on application HK$ |
Number of Hong Kong Offer Shares applied for |
Amount payable on application HK$ |
| 500 4,343.34 1,000 8,686.66 1,500 13,030.00 2,000 17,373.32 2,500 21,716.66 3,000 26,059.99 3,500 30,403.32 4,000 34,746.65 4,500 39,089.98 5,000 43,433.31 6,000 52,119.97 7,000 60,806.64 8,000 69,493.30 9,000 78,179.96 |
10,000 15,000 20,000 25,000 30,000 35,000 40,000 45,000 50,000 60,000 70,000 80,000 90,000 100,000 pl |
86,866.62 130,299.93 173,733.24 217,166.56 260,599.87 304,033.18 347,466.49 390,899.80 434,333.11 521,199.73 608,066.35 694,932.98 781,799.60 868,666.22 e樣 |
200,000 1,737,332.44 300,000 2,605,998.66 400,000 3,474,664.88 500,000 4,343,331.10 600,000 5,211,997.32 700,000 6,080,663.54 800,000 6,949,329.76 900,000 7,817,995.98 1,000,000 8,686,662.20 1,100,000 9,555,328.42 1,200,000 10,423,994.64 1,300,000 11,292,660.86 1,400,000(1) 12,161,327.08 (1) Maximum number of Hong Kong Offer Shares you may apply for. 版 |
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| 2. 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). If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): • 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. If you are applying as an individual CCASS Investor Participant: • the form must contain your NAME and Hong Kong Identity Card number. Sam |
- your participant I.D. must be inserted in the appropriate box.
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 Identity Card number of all joint investor participants;
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your participant I.D. must be inserted in the appropriate box.
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 Hong Kong 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 Hong Kong 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 “ ICBC (Asia) Nominee Limited – Chuangmei Pharmaceutical Public Offer ”;
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be crossed “Account Payee Only”;
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be drawn on your Hong Kong dollar bank account in Hong Kong; and
be drawn on your Hong Kong dollar bank account • be issued by a licensed bank in Hong Kong, and in Hong Kong; and have your name certified on the back by a person • show your account name, which must either be authorised by the bank. The name on the banker’s pre-printed on the cheque, or be endorsed on the cashier order must correspond with your name. If back by a person authorised by the bank. This it is a joint application, the name on the back of the account name must correspond with your name. If banker’s cashier order must be the same as the it is a joint application, the account name must be first-named applicant’s name. the same as the first-named applicant’s name. 4. 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 Industrial and Commercial Bank of China (Asia) Limited: District Branch name Branch address Hong Kong Island West Point Branch 242-244 Queen’s Road West, Sai Ying Pun Queen’s Road Central Branch 122-126 Queen’s Road Central, Central Causeway Bay Branch Shop A on G/F, 1/F, Hennessy Apartments, 488 & 490 Hennessy Road Kowloon Tsim Sha Tsui Branch Shop 1&2, G/F, No. 35-37 Hankow Road, Tsim Sha Tsui Mei Foo Branch Shop N95A, 1/F, Mount Sterling Mall, Mei Foo Sun Chuen Prince Edward Branch 777 Nathan Road, Mongkok Ngau Tau Kok Branch Shop Nos. G211-214, G/F, Phase II, Amoy Plaza, 77 Ngau Tau Kok Road New Territories Tsuen Wan Castle Peak Road Branch G/F, 423-427 Castle Peak Road, Tsuen Wan Kwai Fong Branch C63A-C66, 2/F, Kwai Chung Plaza, Kwai Fong Tuen Mun Branch 217 A-F Central Services Building, Nan Fung Industrial City, 18 Tin Hau Road, Tuen Mun Tai Po Branch Shop F, G/F, Mee Fat Building, No 34-38 Tai Wing Lane, Tai Po Shatin Branch Shop 22J, Level 3, Shatin Centre
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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 Industrial and Commercial Bank of China (Asia) Limited:
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Your Application Form can be lodged at these times:
— Wednesday, 2 December 2015 9:00 a.m. to 5:00 p.m. — Thursday, 3 December 2015 9:00 a.m. to 5:00 p.m. — Friday, 4 December 2015 9:00 a.m. to 5:00 p.m. — Saturday, 5 December 2015 9:00 a.m. to 1:00 p.m. Monday, 7 December 2015 — 9:00 a.m. to 12:00 noon
- The latest time for lodging your application is 12:00 noon on Monday, 7 December 2015. 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 “10. Effect of Bad Weather on the Opening of the Application Lists” in the “How to Apply for Hong Kong 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香港發售股份,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的股份戶口,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500股香港發售股份,並為下表所列的其 中一個數目,否則恕不受理。
| 創美藥業股份有限公司 (每股香港發售股份8.60港元) 可供申請認購股份數目及應繳款項 |
創美藥業股份有限公司 (每股香港發售股份8.60港元) 可供申請認購股份數目及應繳款項 |
創美藥業股份有限公司 (每股香港發售股份8.60港元) 可供申請認購股份數目及應繳款項 |
創美藥業股份有限公司 (每股香港發售股份8.60港元) 可供申請認購股份數目及應繳款項 |
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| 申請認購的 香港發售 股份數目 申請時 應繳股款 港元 |
申請認購的 香港發售 股份數目 |
申請時 應繳股款 港元 |
申請認購的 香港發售 股份數目 |
申請時 應繳股款 港元 |
| 500 4,343.34 1,000 8,686.66 1,500 13,030.00 2,000 17,373.32 2,500 21,716.66 3,000 26,059.99 3,500 30,403.32 4,000 34,746.65 4,500 39,089.98 5,000 43,433.31 6,000 52,119.97 7,000 60,806.64 8,000 69,493.30 9,000 78,179.96 |
10,000 15,000 20,000 25,000 30,000 35,000 40,000 45,000 50,000 60,000 70,000 80,000 90,000 100,000 mpl |
86,866.62 130,299.93 173,733.24 217,166.56 260,599.87 304,033.18 347,466.49 390,899.80 434,333.11 521,199.73 608,066.35 694,932.98 781,799.60 868,666.22 e樣 |
200,000 1,737,332.44 300,000 2,605,998.66 400,000 3,474,664.88 500,000 4,343,331.10 600,000 5,211,997.32 700,000 6,080,663.54 800,000 6,949,329.76 900,000 7,817,995.98 1,000,000 8,686,662.20 1,100,000 9,555,328.42 1,200,000 10,423,994.64 1,300,000 11,292,660.86 1,400,000(1) 12,161,327.08 (1) 閣下可申請認購的香港發售股份最高數 目。 版 |
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| 2.閣下作為申請人,必須按照下列指示以英文填妥表格,並於申請表格第二頁簽署,只接納親筆簽名(不得 以個人印章代替)。 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: • 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。 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: • 表格須載有 閣下的姓名和香港身份證號碼。 Sa |
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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香港發售股份,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的股份戶口,請使用本表格
- 閣下須將支票或銀行本票釘於表格上。每份香港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。支票或銀行本票須符合以下所有規定,否則有關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「 工銀亞洲代理人有限公司-創美藥業公開發售 」; ‧ 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 須由香港持牌銀行開出,並由有關銀行授權的 ‧ 顯示 閣下的賬戶名稱,而該賬戶名稱必須已 人士在銀行本票背面簽署核證 閣下姓名╱名 預印在支票上,或由有關銀行授權的人士在支 稱。銀行本票所示姓名╱名稱必須與 閣下姓 票背書。賬戶名稱必須與 閣下姓名╱名稱相 名╱名稱相同。如屬聯名申請,銀行本票背面 同。如屬聯名申請,賬戶名稱必須與排名首位 所示姓名╱名稱必須與排名首位申請人的姓 申請人的姓名╱名稱相同。 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)投入中國工商銀行(亞洲)有限 公司下列任何一家分行特設的收集箱: 地區 分行名稱 分行地址 香港島 西環分行 西營盤皇后大道西242-244號 皇后大道中分行 中環皇后大道中122-126號 銅鑼灣分行 銅鑼灣軒尼詩道488-490號軒尼詩大廈地下A舖至1樓 九龍 尖沙咀分行 尖沙咀漢口道35至37號地下1-2號舖 美孚分行 美孚新村萬事達廣場一樓N95A舖 太子分行 旺角彌敦道777號 牛頭角分行 牛頭角道77號淘大商場第二期地下211-214號舖 新界 荃灣青山公路分行 青山公路荃灣段423-427號地下 葵芳分行 葵芳葵涌廣場二字樓C63A-C66號舖 屯門分行 屯門天后路18號南豐工業城中央服務大樓217號A-F 大埔分行 大埔大榮里34至38號美發大廈地下F舖 沙田分行 沙田中心3樓22J號舖
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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)投入中國工商銀行(亞洲)有限 公司下列任何一家分行特設的收集箱:
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閣下可於下列時間遞交申請表格:
2015年12月2日(星期三)-上午9時正至下午5時正 2015年12月3日(星期四)-上午9時正至下午5時正 2015年12月4日(星期五)-上午9時正至下午5時正 2015年12月5日(星期六)-上午9時正至下午1時正 2015年12月7日(星期一)-上午9時正至中午12時正
- 截止遞交申請的時間為2015年12月7日(星期一)中午12時正。本公司將於當日上午11時45分至中午12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(詳見招股說明書「如何申請香港發售 股份」一節「10. 惡劣天氣對開始辦理申請登記的影響」)。
Please use this form if you want the Hong Kong 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
==> picture [79 x 66] intentionally omitted <==
CHUANGMEI PHARMACEUTICAL CO., LTD.[*] 創美藥業股份有限公司
(a joint stock limited liability company established in the People’s Republic of China)
GLOBAL OFFERING
Conditions of your application
- confirm that you have read the terms and conditions and application procedures set out in the Prospectus and in this Application Form and agree to be bound by them;
A. Who can apply
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You and any person(s) for whose benefit you are applying must be • 18 years of age or older and must have a Hong Kong address.
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If you are a firm, the application must be in the individual members’ names.
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The number of joint applicants may not exceed 4. to the Prospectus;
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If you are a body corporate, the application must be signed by a • duly authorised officer, who must state his representative capacity, Offering in the Prospectus;
and stamped with your corporation’s chop. •
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You must be outside the United States, not be a United States Person (as defined in Regulation S under the U.S. Securities Act) and not be a legal or natural person of the PRC (unless permitted by the relevant rules and regulations).
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Unless permitted by the Listing Rules, you cannot apply for any • Hong Kong Offer Shares if you are: • an existing beneficial owner of shares in the Company and/or any of its subsidiaries;
• a director or chief executive officer of the Company and/or • any of its subsidiaries;
• a connected person (as defined in the Listing Rules) of the Company or will become a connected person of the Company immediately upon completion of the Global Offering;
• an associate (as defined in the Listing Rules) of any of the • above; or
• have been allocated or have applied for or indicated an interest in any Offer Shares under the International Offering.
B. If you are a nominee
• confirm that you have received and read the Prospectus and have only relied on the information and representations contained in the Prospectus in making your application and will not rely on any other information or representations except those in any supplement to the Prospectus; • confirm that you are aware of the restrictions on the Global Offering in the Prospectus; • agree that none of the Company, the Sole Sponsor, the Sole Global Coordinator, the Underwriters, their respective directors, officers, employees, partners, agents, advisers and any other parties involved in the Global Offering is or will be liable for any information and representations not in the Prospectus (and only supplement to it); • undertake and confirm that you or the person(s) for whose benefit you have made the application have not applied for or taken up, or indicate an interest for, any Offer Shares under the International Offering nor participated in the International Offering;
agree to disclose to the Company, the H Share Registrar, the receiving bank, the Sole Sponsor, the Sole Global Coordinator, the Underwriters and/or their respective advisers and agents any personal data which they may require about you and the person(s) for whose benefit you have made the application;
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 Sole 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;
You, as a nominee, may make more than one application for the Hong Kong 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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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;
C. Effect of completing and submitting this Application Form
- represent, warrant and undertake that (i) you understand that the Hong Kong 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 Hong Kong 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;
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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undertake to execute all relevant documents and instruct and authorise the Company and/or 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 Hong Kong 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 accept the Hong Kong 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 Hong Kong Offer Shares allocated to you, and the Company and/ or its agents to deposit any share certificate(s) into CCASS and/or to send any refund cheque(s) to you or the first-named applicant for
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agree to comply with the Companies Ordinance, the Companies (Winding Up and Miscellaneous Provisions) Ordinance, the PRC Company Law, the Special Regulations and the Articles of Association;
Please use this form if you want the Hong Kong 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
- joint application by ordinary post at your own risk to the address stated on the application, unless you are eligible to collect refund cheque(s) in person;
Applications for Hong Kong Offer Shares will not be processed and no allotment of any Hong Kong Offer Shares will be made until the application lists close.
- 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;
The Company expects to announce the fixed offer price, the indication of the level of interest in the International Offering, the level of applications under the Hong Kong Public Offering and the basis of allocation of the Hong Kong Public Offering on Friday, 11 December 2015 in the South China Morning Post (in English), the Hong Kong Economic Times (in Chinese), on the website of the Hong Kong Stock Exchange at www.hkexnews.hk and the Company’s website at www.chmyy.com. Results of allocations in Hong Kong Public Offering, 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 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 first-named applicant) above websites. 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 whole or in part)
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post or to make available the same for your collection;
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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 to you in any way;
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• declare and represent that this is the only application made and the only application intended by you to be made to benefit you or the HKSCC or HKSCC Nominees.
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person for whose benefit you are applying; •
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• understand that the Company, the Sole 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 Hong Kong Offer Shares to you and that you may be prosecuted for making a false declaration; CCASS Participant.
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• (if the application is made for your own benefit) warrant that no •
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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 or through the White Form eIPO Service 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.
If your application for Hong Kong Offer Shares is successful (in whole or in part)
If your application is wholly or partially successful, your H Share certificate(s) (subject to their becoming valid certificates of title provided that the Hong Kong Public Offering has become unconditional and not having been terminated at 8:00 a.m. on Monday, 14 December 2015) 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 Friday, 11 December 2015 or, in the event of a contingency, on any other date as shall be determined by HKSCC or HKSCC Nominees.
If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For Hong Kong Offer Shares credited to the stock account of your designated CCASS Participant (other than a CCASS Investor Participant), you can check the number of Hong Kong Offer Shares allotted to you with that CCASS Participant.
- 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 Hong Kong Public Offering in the South China Morning Post (in English) and the Hong Kong Economic Times (in Chinese) on Friday, 11 December 2015. You should check the announcement published by the Company and report any discrepancies to HKSCC before 5:00 p.m. on Friday, 11 December 2015 or such other date as shall be determined by HKSCC or HKSCC Nominees. Immediately after the credit of the Hong Kong 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 Hong Kong Offer Shares credited to your stock account.
D. Power of attorney
If your application is made through an authorised attorney, the Company 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.
No receipt will be issued for application money paid. The Company will not issue temporary documents of title.
Refund of your money
If you do not receive any Hong Kong 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 “14. Despatch/Collection of H Share Certificates and Refund Monies” in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus.
Determination of Offer Price and Allocation of Hong Kong Offer Share
The Offer Price is expected to be fixed on or around Monday, 7 December 2015 but in any event, not later than Thursday, 10 December 2015. Applicants are required to pay the maximum Offer Price of HK$8.60 for each Hong Kong 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 (on behalf of the underwriters) on or before Thursday, 10 December 2015, the Global Offering will not proceed.
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香港發售股份,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的股份戶口,請使用本表格
==> picture [79 x 66] intentionally omitted <==
CHUANGMEI PHARMACEUTICAL CO., LTD.[*] 創美藥業股份有限公司
(於中華人民共和國註冊成立的股份有限公司)
全球發售
- ‧ 確認 閣下已細閱招股說明書及本申請表格所載 的條款及條件以及申請程序,並同意受其約束;
申請條件
甲、可提出申請的人士 ‧ 確認 閣下已接獲及細閱招股說明書,提出申請 1. 閣下及 閣下為其利益提出申請的人士必須年滿 時也僅依據招股說明書載列的資料及陳述,而除 18歲並有香港地址。 招股說明書任何補充文件外,不會依賴任何其他 2. 如 閣下為商號,申請須以個別成員名義提出。 資料或陳述; 3. 聯名申請人不得超過四名。 ‧ 確認 閣下知悉招股說明書內有關全球發售的限 4. 如 閣下為法人團體,申請須經獲正式授權人員 制; ‧ 簽署,並註明其所屬代表身份及蓋上公司印鑑。 同意本公司、獨家保薦人、獨家全球協調人、包 5. 閣下必須身處美國境外,並非美籍人士(定義見美 銷商、彼等各自的董事、高級職員、僱員、合夥 國證券法S規例),亦非中國法人或自然人(除非獲 人、代理、顧問及參與全球發售的任何其他人士 有關規則及法規批准)。 現時及日後均毋須對並非載於招股說明書(及其任 6. 除上市規則批准外,下列人士概不得申請認購任 何補充文件)的任何資料及陳述負責; ‧ 何香港發售股份: 承諾及確認 閣下或 閣下為其利益提出申請的 ‧ 本公司及╱或其任何附屬公司股份的現有實 人士並無申請或接納或表示有意認購國際發售的 益擁有人; 任何發售股份,也沒有參與國際發售; ‧ 本公司及╱或其任何附屬公司的董事或首席 ‧ 同意在本公司、H股證券登記處、收款銀行、獨 執行官; 家保薦人、獨家全球協調人、包銷商及╱或彼等 ‧ 本公司關連人士(定義見上市規則)或緊隨全 各自的顧問及代理提出要求時,向彼等披露其所 球發售完成後成為本公司關連人士的人士; 要求提供有關 閣下及 閣下為其利益提出申請 ‧ 上述任何人士的聯繫人(定義見上市規則); 的人士的個人資料; ‧ 或 若香港境外任何地方的法例適用於 閣下的申 ‧ 已獲分配或已申請或表示有意申請國際發售 請,則同意及保證 閣下已遵守所有有關法例, 的任何發售股份的人士。 且本公司、獨家保薦人、獨家全球協調人及包 銷商和彼等各自的高級職員或顧問概不會因接 乙、如 閣下為代名人 納 閣下的購買要約,或 閣下在招股說明書及 閣下作為代名人可提交超過一份香港發售股份申請, 本申請表格所載的條款及條件下的權利及責任所 方法是:(i)透過中央結算及交收系統(「 中央結算系 引致的任何行動,而違反香港境外的任何法例; ‧ 統 」)向香港結算發出電子認購指示(如 閣下為中央 同意 閣下的申請一經接納,即不得因無意的失 結算系統參與者);或(ii)使用 白色 或 黃色 申請表格以 實陳述而撤銷; ‧ 自身名義代表不同的實益擁有人提交超過一份申請。 同意 閣下的申請受香港法例規管;
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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) 閣下明白香港發售股份 不曾亦不會根據美國證券法登記;及(ii) 閣下 及 閣下為其利益申請香港發售股份的人士均身 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;
丙、填寫及遞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:
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‧ 保證 閣下提供的資料真實及準確;
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‧ 承諾簽立所有相關文件,並指示及授權本公司 及╱或作為本公司代理的獨家全球協調人(或彼等 的代理或代名人),代表 閣下簽立任何文件,並 按照公司章程的規定將 閣下獲分配的任何香港 發售股份以香港結算代理人的名義登記;
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‧ 同意接納所申請數目或根據申請分配予 閣下但 數目較少的香港發售股份;
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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 閣下獲分配的任何香港發售股 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
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‧ 同意遵守公司條例、公司(清盤及雜項條文)條 例、中國公司法、特別規定及公司章程;
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香港發售股份,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的股份戶口,請使用本表格
截止登記認購申請前,概不處理香港發售股份的申請 或配發任何香港發售股份。
- 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 閣下合資格親身領取退款支票;
本公司預期於2015年12月11日(星期五)在南華早報 (英文)、香港經濟日報(中文)、香港聯交所網站 www.hkexnews.hk及本公司網站www.chmyy.com公佈 協定發售價、國際發售的認購踴躍程度、香港公開發 售申請水平及香港公開發售分配基準。香港公開發售 的分配結果及成功申請人的香港身份證╱護照╱香港 商業登記號碼(如適用)亦同於上述網站公佈。
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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的股份戶口;
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‧ 同意香港結算及香港結算代理人均各自保留權利 的分配結果及成功申請人的香港身份證╱護照╱香港
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(1)不接納以香港結算代理人名義發行的該等獲配 商業登記號碼(如適用)亦同於上述網站公佈。
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發的任何或部分股份,或不接納該等獲配發的股 份存入中央結算系統;(2)促使該等獲配發的股份 如 閣下成功申請認購香港發售股份(全部或部分)
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從中央結算系統提取,並以 閣下名義發行,有 如 閣下的申請全部或部分獲接納, 閣下的H股股票
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關風險及費用概由 閣下自行承擔;及(3)促使該 (前提是到2015年12月14日(星期一)上午八時正香港
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等獲配發的股份以 閣下名義發行(或如屬聯名申 請人,則以排名首位申請人的名義發行),而在此 公開發售成為無條件而並無終止,股票成為有效的所 情況下,會以普通郵遞方式將該等獲配發股份的 有權證明)將以香港結算代理人名義發行,並按 閣 股票寄往 閣下在申請表格上所示地址(郵誤風險 下在申請表格的指示於2015年12月11日(星期五)或在 概由 閣下自行承擔)或提供該等股票予 閣下領 特別情況下由香港結算或香港結算代理人指定的任何 取; 其他日期直接存入中央結算系統,記入 閣下的中央
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‧ 同意香港結算及香港結算代理人均可調整以香港 結算系統投資者戶口持有人股份戶口或 閣下指定的 結算代理人名義發行的獲配發股份數目; 中央結算系統參與者的股份戶口。
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‧ 同意香港結算及香港結算代理人對招股說明書及 ‧ 如 閣下透過中央結算系統投資者戶口持有人以 本申請表格未有載列的資料及陳述概不負責; 外的指定中央結算系統參與者提出申請:香港
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‧ 同意香港結算及香港結算代理人概不以任何方式 發售股份將存入 閣下指定的中央結算系統參
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對 閣下負責; 與者(非中央結算系統投資者戶口持有人)股份戶
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‧ 聲明及表示此乃 閣下為本身或 閣下為其利益 口, 閣下可向該中央結算系統參與者查詢 閣下
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提出申請的人士提出及擬提出的唯一申請;
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‧ 獲配發的香港發售股份數目。 明白本公司、獨家保薦人及獨家全球協調人將依 ‧ 如 閣下以中央結算系統投資者戶口持有人身份
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據 閣下的聲明及陳述而決定是否向 閣下分配 提出申請:本公司預期於2015年12月11日(星期2015年12月11日(星期年12月11日(星期12月11日(星期月11日(星期11日(星期日(星期
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任何香港發售股份, 閣下如作出虛假聲明,可能 五)在南華早報(英文)及香港經濟日報(中文)刊登
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會被檢控;
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‧ (如本申請是為 閣下本身利益提出)保證 閣下 中央結算系統投資者戶口持有人的申請結果及香 或作為 閣下代理的任何人士或任何其他人士不 港公開發售的結果。 閣下應查閱本公司刊發的 曾亦不會為 閣下利益而以 白色 或 黃色 申請表格 公告,如有任何資料不符,請於2015年12月11日2015年12月11日年12月11日12月11日月11日11日日 或向香港結算或透過 白表eIPOeIPO 服務發出電子認購 (星期五)或香港結算或香港結算代理人釐定的任 指示而提出其他申請;及 何其他日期下午五時正前知會香港結算。在香港
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‧ (如 閣下作為代理為另一人士的利益提出申請) 發售股份存入 閣下的股份戶口後, 閣下即可透 保證(i) (i) 閣下(作為代理或為該人士利益)或該人 過「結算通」電話系統及中央結算系統互聯網系統 士或任何其他作為該人士代理的人士不曾亦不會 (根據香港結算不時有效的「投資者戶口持有人操
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以 白色 或 黃色 申請表格或向香港結算發出電子認 作簡介」所載程序)查詢 閣下的新戶口結餘。香
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購指示而提出其他申請;及(ii) (ii) 閣下獲正式授權 港結算亦將向 閣下提供一份活動結單,列出存 作為該人士的代理代為簽署本申請表格或發出電 入 閣下股份戶口的香港發售股份數目。
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子認購指示。
‧ 明白本公司、獨家保薦人及獨家全球協調人將依 ‧ 如 閣下以中央結算系統投資者戶口持有人身份 據 閣下的聲明及陳述而決定是否向 閣下分配 提出申請:本公司預期於2015年12月11日(星期2015年12月11日(星期年12月11日(星期12月11日(星期月11日(星期11日(星期日(星期 任何香港發售股份, 閣下如作出虛假聲明,可能 五)在南華早報(英文)及香港經濟日報(中文)刊登 會被檢控; ‧ (如本申請是為 閣下本身利益提出)保證 閣下 中央結算系統投資者戶口持有人的申請結果及香 或作為 閣下代理的任何人士或任何其他人士不 港公開發售的結果。 閣下應查閱本公司刊發的 曾亦不會為 閣下利益而以 白色 或 黃色 申請表格 公告,如有任何資料不符,請於2015年12月11日2015年12月11日年12月11日12月11日月11日11日日 或向香港結算或透過 白表eIPOeIPO 服務發出電子認購 (星期五)或香港結算或香港結算代理人釐定的任 指示而提出其他申請;及 何其他日期下午五時正前知會香港結算。在香港 ‧ (如 閣下作為代理為另一人士的利益提出申請) 發售股份存入 閣下的股份戶口後, 閣下即可透 保證(i) (i) 閣下(作為代理或為該人士利益)或該人 過「結算通」電話系統及中央結算系統互聯網系統 士或任何其他作為該人士代理的人士不曾亦不會 (根據香港結算不時有效的「投資者戶口持有人操 以 白色 或 黃色 申請表格或向香港結算發出電子認 作簡介」所載程序)查詢 閣下的新戶口結餘。香 購指示而提出其他申請;及(ii) (ii) 閣下獲正式授權 港結算亦將向 閣下提供一份活動結單,列出存 作為該人士的代理代為簽署本申請表格或發出電 入 閣下股份戶口的香港發售股份數目。
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。
丁、授權書
如 閣下透過授權人士提出申請,本公司及獨家全球 協調人可按其認為合適的任何條件(包括出示獲授權 證明)酌情接納或拒絕 閣下的申請。
退回股款
若 閣下未獲分配任何香港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)。有關退款程序載於招 股說明書「如何申請香港發售股份」一節「14. 發送╱領 取H股股票及退回股款」。
釐定發售價及香港發售股份的分配
預期發售價於2015年12月7日(星期一)或前後釐定, 惟於任何情況下均不會遲於2015年12月10日(星期 四)。申請人須繳付每股香港發售股份8.60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(代表包銷商)並無於2015年12月10日(星期四) 或之前協定發售價,全球發售將不會進行。
Please use this form if you want the Hong Kong 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
3. Transfer of personal data Personal data held by the Company and its H Share Registrar relating to the securities holders will be kept confidential but the Company and its H 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:
Personal Data
Personal Information Collection Statement
This Personal Information Collection Statement informs the applicant for, and holder of, Hong Kong Offer Shares, of the policies and practices of the Company and its H Share Registrar in relation to personal data and the Personal Data (Privacy) Ordinance (Chapter 486 of the Laws of Hong Kong) (the “Ordinance”).
- the Company’s appointed agents such as financial advisers, receiving bankers and overseas principal share registrar;
1. Reasons for the collection of your personal data
It is necessary for applicants and registered holders of • where applicants for securities request a deposit into securities to supply correct personal data to the Company or its CCASS, HKSCC or HKSCC Nominees, who will use the agents and the H Share Registrar when applying for securities personal data for the purposes of operating CCASS; or transferring securities into or out of their names or in • any agents, contractors or third-party service providers procuring the services of the H Share Registrar. who offer administrative, telecommunications, computer, Failure to supply the requested data may result in your payment or other services to the Company or the H Share application for securities being rejected, or in delay or the Registrar in connection with their respective business inability of the Company or its H Share Registrar to effect operation; transfers or otherwise render their services. It may also • the Hong Kong Stock Exchange, the SFC and any other prevent or delay registration or transfers of the Hong Kong statutory regulatory or governmental bodies or otherwise Offer Shares which you have successfully applied for and/or as required by laws, rules or regulations; and the dispatch of share certificate(s) and/or refund cheque(s) to • any persons or institutions with which the securities which you are entitled. holders have or propose to have dealings, such as their It is important that securities holders inform the Company and bankers, solicitors, accountants or stockbrokers etc. the H Share Registrar immediately of any inaccuracies in the personal data supplied. 4. Retention of personal data 2. Purposes The Company and its H Share Registrar will keep the personal data of the applicants and holders of securities for as long as The personal data of the securities holders may be used, held, necessary to fulfill the purposes for which the personal data processed, and/or stored (by whatever means) for the following were collected. Personal data which is no longer required will purposes: • processing your application, refund cheque, where be destroyed or dealt with in accordance with the Ordinance. applicable, verification of compliance with the terms and 5. Access to and correction of personal data application procedures set out in this Application Form Securities holders have the right to ascertain whether the and the Prospectus and announcing results of allocation of Company or the H Share Registrar hold their personal data, the Hong Kong Offer Shares; • compliance with applicable laws and regulations in Hong to obtain a copy of that data, and to correct any data that is inaccurate. The Company and the H Share Registrar have the Kong and elsewhere; • registering new issues or transfers into or out of the names right to charge a reasonable fee for the processing of such of securities holders including, where applicable, HKSCC requests. Nominees; All requests for access to data or correction of data should
- where applicants for securities request a deposit into CCASS, HKSCC or HKSCC Nominees, who will use the personal data for the purposes of operating CCASS;
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 H 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;
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establishing benefit entitlements of securities holders of the Company, such as dividends, rights issues, bonus issues, etc.;
By signing an Application Form or by giving electronic application instructions to HKSCC, you agree to all of the above.
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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 H 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.
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香港發售股份,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的股份戶口,請使用本表格
個人資料
3. 轉交個人資料
本公司及其H股證券登記處所持有關證券持有人的 個人資料將會保密,但本公司及其H股證券登記處 可以在為達到上述任何目的之必要情況下,向下列 任何人士披露、獲取或轉交(不論在香港境內或境 外)有關個人資料:
個人資料收集聲明
此項個人資料收集聲明是向香港發售股份的申請人 及持有人說明有關本公司及其H股證券登記處有關 個人資料及香港法例第486章個人資料(私隱)條例 (「條例」)方面的政策及慣例。
- ‧ 本公司委任的代理人,例如財務顧問、收款銀 行和主要海外股份過戶登記處;
1. 收集 閣下個人資料的原因
- ‧ (如證券申請人要求將證券存於中央結算系統) 香港結算或香港結算代理人;彼等將會就中央 結算系統的運作使用有關個人資料;
證券申請人及登記持有人以本身名義申請證券或轉 讓或受讓證券時或尋求H股證券登記處的服務時, 必須向本公司或其代理人及H股證券登記處提供準 確個人資料。
‧ 向本公司或H股證券登記處提供與其各自業務營 運有關的行政、電訊、電腦、付款或其他服務 的任何代理人、承包商或第三方服務供應商; ‧ 香港聯交所、證監會及任何其他法定監管機關 或政府部門或遵照法例、規則或法規的規定; 及 ‧ 證券持有人與其進行或擬進行交易的任何人士 或機構,例如彼等的銀行、律師、會計師或股 票經紀等。
未能提供所要求的資料可能導致 閣下的證券申請 的任何代理人、承包商或第三方服務供應商; 被拒或延遲,或本公司或其H股證券登記處無法落 ‧ 香港聯交所、證監會及任何其他法定監管機關 實轉讓或提供服務。此舉也可能妨礙或延遲登記 或政府部門或遵照法例、規則或法規的規定; 或轉讓 閣下成功申請的香港發售股份及╱或寄 及 ‧ 發 閣下應得的股票及╱或退款支票。 證券持有人與其進行或擬進行交易的任何人士 證券持有人所提供的個人資料如有任何錯誤,須立 或機構,例如彼等的銀行、律師、會計師或股 票經紀等。 即通知本公司及H股證券登記處。 4. 個人資料的保留 2. 目的 本公司及其H股證券登記處將按收集個人資料所需 證券持有人的個人資料可被採用及以任何方式持 的用途保留證券申請人及持有人的個人資料。無需 有、處理及/或保存,以作下列用途: 保留的個人資料將會根據條例銷毀或處理。 ‧ 處理 閣下的申請及退款支票(如適用)、核實 5. 查閱及更正個人資料 是否符合本申請表格及招股說明書載列的條款 證券持有人有權確定本公司或H股證券登記處是否 和申請程序以及公佈香港發售股份的分配結果; ‧ 持有其個人資料,並有權索取有關該資料的副本並 遵守香港及其他地區的適用法律及法規; 更正任何不準確資料。本公司及H股證券登記處有 ‧ 以證券持有人(包括香港結算代理人(如適用)) 權就處理任何查閱資料的要求收取合理費用。 的名義登記新發行證券或轉讓或受讓證券; 所有查閱資料或更正資料的要求應按招股說明書「公 ‧ 存置或更新本公司證券持有人的名冊; 司資料」一節所披露或不時通知的本公司註冊地址送 ‧ 核實證券持有人的身份; 交公司秘書,或向本公司的H股證券登記處的個人 ‧ 確定本公司證券持有人的受益權利,例如股 資料私隱事務主任提出。 息、供股、紅股等;
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。
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‧ 分發本公司及其附屬公司的通訊;
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‧ 編製統計數據和證券持有人資料;
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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H股證券登記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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