China Galaxy Securities Co., Ltd. — Capital/Financing Update 2017

Oct 23, 2017

Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement.

==> picture [246 x 31] intentionally omitted <==

(A joint stock company incorporated in the People’s Republic of China with limited liability) (Stock code: 06881)

ANNOUNCEMENT

COMPLETION OF NON-PUBLIC ISSUANCE OF 2017 CORPORATE BONDS (FIFTH TRANCHE)

Reference is made to the circular of China Galaxy Securities Co., Ltd. (the “ Company ”) dated 5 May 2017 and the announcement dated 22 June 2017.

The amendment to the plan on authorization given by the shareholders’ general meeting to the board of directors of the Company (the “ Board ”) was approved at the annual general meeting of the Company held on 22 June 2017, pursuant to which, the Board has been authorized to issue debt financing instruments with a balance of not exceeding 350% of the net capital of the Company.

The Board is pleased to announce that, in accordance with the above authorization, the Company has completed the non-public issuance of 2017 corporate bonds (fifth tranche) (the “ Corporate Bonds ”) on 20 October 2017. The issue size of the Corporate Bonds is RMB5 billion with the nominal value and the issue price of RMB100 per unit. The Corporate Bonds consist of two types, of which the first type has a term of two years (the “ Two-year Corporate Bonds ”) and the second type has a term of nine months (the “ Nine-month Corporate Bonds ”). The final issue size of the Two-year Corporate Bonds is RMB4 billion with a final coupon rate of 5.03%, and the final issue size of the Nine-month Corporate Bonds is RMB1 billion with a final coupon rate of 4.77%. The proceeds from the issuance of the Corporate Bonds will be used to supplement the working capital of the Company.

By order of the Board China Galaxy Securities Co., Ltd. Chen Gongyan Chairman and Executive Director

Beijing, the PRC 23 October 2017

As at the date of this announcement, the executive Directors of the Company are Mr. CHEN Gongyan (Chairman), Mr. GU Weiguo (Vice Chairman) and Mr. WU Chengming; the non-executive Directors are Mr. DU Ping, Mr. SHI Xun, Mr. ZHANG Jinghua and Mr. LI Chaoyang; and the independent nonexecutive Directors are Mr. LIU Feng, Mr. LUO Lin, Mr. WU Yuwu and Mr. LIU Ruizhong.