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CITIC Limited — Board/Management Information 2015
Apr 27, 2015
49082_rns_2015-04-27_2fd0566f-358f-453a-8bfa-5880ff1244ae.pdf
Board/Management Information
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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.

OVERSEAS REGULATORY ANNOUNCEMENTS
Please refer to the attached documents dated 27 April 2015 released by United Envirotech Ltd. (a subsidiary of CITIC Limited) to Singapore Exchange Limited in relation to the following:-
- (i) Change Announcement of Cessation: Cessation as Executive Director: Chong Weng Chiew;
- (ii) Change Announcement of Cessation: Cessation as Executive Director: Wang Ning;
- (iii) Change Announcement of Cessation: Cessation as Non-Executive Director: David Haifeng Liu;
- (iv) Change Announcement of Cessation: Cessation as Non-Executive Director: Li Yan;
- (v) Disclosure of Interest/Changes in Interest of Substantial Shareholder(s)/Unitholder(s): CENVIT (Cayman) Company Limited;
- (vi) Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/Unitholder(s): CITIC Environment and its affiliates;
- (vii) Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/Unitholder(s): CKM (Cayman) Company Limited;
- (viii) Disclosure of Interest/Changes in Interest of Substantial Shareholder(s)/Unitholder(s): KKR China Water Investment Limited; and
(ix) Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/Unitholder(s): KKR China Water Investment Holdings Limited
Hong Kong, 27 April 2015
As at the date of this announcement, the executive directors of CITIC Limited are Mr Chang Zhenming (Chairman), Mr Wang Jiong, Mr Dou Jianzhong and Mr Zhang Jijing; the non-executive directors of CITIC Limited are Mr Yu Zhensheng, Mr Yang Jinming, Ms Cao Pu, Mr Liu Zhongyuan and Mr Liu Yeqiao; and the independent non-executive directors of CITIC Limited are Mr Alexander Reid Hamilton, Mr Francis Siu Wai Keung, Dr Xu Jinwu, Mr Anthony Francis Neoh and Ms Lee Boo Jin.
| Change - Announcement of Cessation::Cessation as Executive Director | |
|---|---|
| --------------------------------------------------------------------- | -- |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng | ||
|---|---|---|---|
| Designation | Executive Director and Chief Executive Officer | ||
| Description (Please provide a detailed description of the event in the box below) |
Cessation as Executive Director | ||
| Additional Details | |||
| Name Of Person | Chong Weng Chiew | ||
| Age | 45 |
| B Checuve date of cessation Milowit: | 165 |
|---|---|
| If yes, please provide the date | 24/04/2015 |
| Detailed Reason (s) for cessation | There has been a change in Controlling Shareholder of the Company, and as a result, a change to the composition of the Board. Dr Chong Weng Chiew's cessation as a Director of the Board is to facilitate the appointment of new Board Members nominated by the Controlling Shareholder, CKM (Cayman) Company Limited. Dr Chong Weng Chiew will remain with the Comapny as Head (Corporate Affairs) |
| Are there any unresolved differences in opinion on material matters between the person and the board of directors, including matters which would have a material impact on the group or its financial reporting? |
No |
|---|---|
| Is there any matter in relation to the cessation that needs to be brought to the attention of the shareholders of the listed issuer? |
No |
| Any other relevant information to be provided to shareholders of the listed issuer? |
No |
| Date of Appointment to current position | 01/12/2012 |
| Does the AC have a minimum of 3 members (taking into account this cessation)? |
Yes |
| Number of Independent Directors currently resident in Singapore (taking into account this cessation) |
3 |
| Number of cessations of appointments specified in Listing Rule 704 (7) or Catalist Rule 704 (6) over the past 12 months |
3 |
| Job Title (e.g. Lead ID, AC Chairman, AC Member etc.) |
Executive Director |
| Role and responsibilities | Dr Chong Weng Chiew is responsible for the Corporate Affairs of the Company |
| Familial relationship with any director and/ or substantial shareholder of the listed issuer or of any of its principal subsidiaries |
NII |
| Shareholding interest in the listed issuer and its subsidiaries? |
No |
| Past (for the last 5 years) | NII |
| Present | NIL |
| Change - Announcement of Cessation::Cessation as Executive Director | ||||
|---|---|---|---|---|
| Issuer & Securities | ||||
| UNITED ENVIROTECH LTD. Issuer/ Manager |
||||
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 | |||
| Stapled Security | No | |||
| Announcement Details | ||||
| Announcement Title | Change - Announcement of Cessation | |||
| Date & Time of Broadcast | 27-Apr-2015 17:10:07 | |||
| Status | New | |||
| Announcement Sub Title | Cessation as Executive Director | |||
| Announcement Reference | SG150427OTHR38DS | |||
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng | |||
| Designation | Executive Director and Chief Executive Officer | |||
| Description (Please provide a detailed description of the event in the box below) |
Cessation as Executive Director | |||
| Additional Details | ||||
| Name Of Person | Wang Ning | |||
| Age | 52 |
| Are there any unresolved differences in opinion on material matters between the person and the board of directors, including matters which would have a material impact on the group or its financial reporting? |
No |
|---|---|
| Is there any matter in relation to the cessation that needs to be brought to the attention of the shareholders of the listed issuer? |
No |
| Any other relevant information to be provided to shareholders of the listed issuer? |
No |
| Date of Appointment to current position | 01/07/2009 |
| Does the AC have a minimum of 3 members (taking into account this cessation)? |
Yes |
| Number of Independent Directors currently resident in Singapore (taking into account this cessation) |
3 |
| Number of cessations of appointments specified in Listing Rule 704 (7) or Catalist Rule 704 (6) over the past 12 months |
3 |
| Job Title (e.g. Lead ID, AC Chairman, AC Member etc.) |
Executive Director and Deputy Chief Executive Officer |
| Role and responsibilities | Mr Wang Ning is responsible for the Operations of the Group |
| Familial relationship with any director and/ or substantial shareholder of the listed issuer or of any of its principal subsidiaries |
NIL. |
| Shareholding interest in the listed issuer and its subsidiaries? |
Yes |
| Shareholding Details | Direct Interest 3,771,200 shares |
| Past (for the last 5 years) | NIL |
| Present | NIL. |
| Issuer & Securities | |||
|---|---|---|---|
| Issuer/ Manager | UNITED ENVIROTECH LTD | ||
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 | ||
| Stapled Security | No. |
| Announcement Title | Change - Announcement of Cessation | |
|---|---|---|
| Date & Time of Broadcast | 27-Apr-2015 17:10:42 | |
| Status | New | |
| Announcement Sub Title | Cessation as Non-Executive Director | |
| Announcement Reference | SG150427OTHRLRAI | |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng | |
| Designation | Executive Director and Chief Executive Officer | |
| Description (Please provide a detailed description of the event in the box below) |
Cessation as Non-Executive Director |
| Name Of Person | David Haifeng Liu |
|---|---|
| Age | 44 |
| Is effective date of cessation known? | Yes |
| If yes, please provide the date | 24/04/2015 |
| Detailed Reason (s) for cessation | There has been a change in Controlling Shareholder of the Company, and as a result, a change to the composition of the Board. Mr Liu's cessation as a Director of the Board is to facilitate the appointment of new Board Members nominated by the Controlling Shareholder, CKM (Cayman) Company Limited. |
| Is there any matter in relation to the cessation that needs to be brought to the attention of the shareholders of the listed issuer? |
No |
|---|---|
| Any other relevant information to be provided to shareholders of the listed issuer? |
No |
| Date of Appointment to current position | 04/10/2011 |
| Does the AC have a minimum of 3 members (taking into account this cessation)? |
Yes |
| Number of Independent Directors currently resident in Singapore (taking into account this cessation) |
3 |
| Number of cessations of appointments specified in Listing Rule 704 (7) or Catalist Rule 704 (6) over the past 12 months |
3 |
| Job Title (e.g. Lead ID, AC Chairman, AC Member etc.) |
Non-Executive Director |
| Role and responsibilities | Non-Executive |
| Familial relationship with any director and/ or substantial shareholder of the listed issuer or of any of its principal subsidiaries |
NII |
| Shareholding interest in the listed issuer and its subsidiaries? |
No |
| Past (for the last 5 years) | Sino Prosperity Holdings One Titan Investments Limited |
| Present | China Rundong Auto Group Limited Qingdao Haier Co., Ltd. China International Capital Corporation Limited KKR Asia Limited CIHL Parent Limited Components Investment Holdings Limited KKR KFC Holdings Limited KKR PEI Holdings GP Limited KKR SP Limited CKM (Cayman) Company Limited Sino Prosperity Real Estate Limited |
| Change - Announcement of Cessation::Cessation as Non-Executive Director | ||
|---|---|---|
| Issuer & Securities | |
|---|---|
| Issuer/Manager | UNITED ENVIROTECH LTD. |
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 |
| Stapled Security | No |
| Announcement Title | Change - Announcement of Cessation |
|---|---|
| Date & Time of Broadcast | 27-Apr-2015 17:11:03 |
| Status | New |
| Announcement Sub Title | Cessation as Non-Executive Director |
| Announcement Reference | SG150427OTHR1G8Y |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Executive Director and Chief Executive Officer |
| Description (Please provide a detailed description of the event in the box below) |
Cessation as Non-Executive Officer |
| Name Of Person | Li Yan |
|---|---|
| Age | 36 |
| Is effective date of cessation known? | Yes |
| If yes, please provide the date | 24/04/2015 |
| Detailed Reason (s) for cessation | There has been a change in Controlling Shareholder of the Company, and as a result, a change to the composition of the Board. Dr Li Yan's cessation as a Director of the Board is to facilitate the appointment of new Board Members nominated by the Controlling Shareholder, CKM (Cayman) Company Limited. |
| Are there any unresolved differences in opinion on material matters between the person and the board of directors, including matters which would have a material impact on the group or its financial reporting? |
No |
|---|---|
| Is there any matter in relation to the cessation that needs to be brought to the attention of the shareholders of the listed issuer? |
No |
| Any other relevant information to be provided to shareholders of the listed issuer? |
No |
| Date of Appointment to current position | 06/08/2012 |
| Does the AC have a minimum of 3 members (taking into account this cessation)? |
Yes |
| Number of Independent Directors currently resident in Singapore (taking into account this cessation) |
3 |
| Number of cessations of appointments specified in Listing Rule 704 (7) or Catalist Rule 704 (6) over the past 12 months |
3 |
| Job Title (e.g. Lead ID, AC Chairman, AC Member etc.) |
Non-Executive Director |
| Role and responsibilities | Non-Executive |
| Familial relationship with any director and/ or substantial shareholder of the listed issuer or of any of its principal subsidiaries |
NIL |
| Shareholding interest in the listed issuer and its subsidiaries? |
No |
| Past (for the last 5 years) | NII |
| Present | NIL |
| Issuer & Securities | |
|---|---|
| Issuer/Manager | UNITED ENVIROTECH LTD. |
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 |
| Stapled Security | No |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
|---|---|
| Date & Time of Broadcast | 27-Apr-2015 17:11:31 |
| Status | New |
| Announcement Sub Title | CENVIT (CAYMAN) COMPANY LIMITED |
| Announcement Reference | SG150427OTHRCEE6 |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Executive Director and Chief Executive Officer |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Please see attached Form 3 |
| Additional Details | |
|---|---|
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) |
| Date of receipt of notice by Listed Issuer | 24/04/2015 |
| Attachments | 10 CENVIT.Cayman.Company.Limited.Form.3.24.April.2015.pdf if you are unable to view the above file, please click the link below. CENVIT.Cayman.Company.Limited.Form.3.24.April.2015.pdf Total size =153 $K$ |
SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012
NOTIFICATION FORM FOR SUBSTANTIAL SHAREHOLDER(S)/ UNITHOLDER(S) IN RESPECT OF INTERESTS IN SECURITIES
FORM 3 (Electronic Format)
Explanatory Notes
-
- Please read the explanatory notes carefully before completing the notification form.
-
- This form is for a Substantial Shareholder(s)/Unitholder(s) to give notice under section 135, 136, 137, 137J (as applicable to sections 135, 136 and 137) or 137U (as applicable to sections 135, 136 and 137) of the Securities and Futures Act (the "SFA").
-
- This electronic Form 3 and a separate Form C, containing the particulars and contact details of the Substantial Shareholder(s)/Unitholder(s), must be completed by the Substantial Shareholder(s)/ Unitholder(s) or a person duly authorised by the Substantial Shareholder(s)/Unitholder(s) to do so. The person so authorised should maintain records of information furnished to him by the Substantial Shareholder(s)/Unitholder(s).
-
- This form and Form C, are to be completed electronically and sent to the Listed Issuer via an electronic medium such as an e-mail attachment. The Listed Issuer will attach both forms to the prescribed SGXNet announcement template for dissemination as required under section 137G(1), 137R(1) or 137ZC(1) of the SFA, as the case may be. While Form C will be attached to the announcement template, it will not be disseminated to the public and is made available only to the Monetary Authority of Singapore (the "Authority").
-
- Where a transaction results in similar notifiable obligations on the part of more than one Substantial Shareholder/Unitholder, all of these Substantial Shareholders/Unitholders may give notice using the same notification form.
-
- A single form may be used by a Substantial Shareholder/Unitholder for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of becoming aware of the earliest transaction). There must be no netting-off of two or more notifiable transactions even if they occur within the same day.
-
- All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking the paper clip icon on the bottom left-hand corner or in item 11 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.
-
- Except for item 5 of Part II and item 1 of Part IV, please select only one option from the relevant check boxes.
-
- Please note that submission of any false or misleading information is an offence under Part VII of the SFA.
-
- In this form, the term "Listed Issuer" refers to -
- (a) a company incorporated in Singapore any or all of the shares in which are listed for quotation on the official list of a securities exchange;
-
(b) a corporation (not being a company incorporated in Singapore, or a collective investment scheme constituted as a corporation) any or all of the shares in which are listed for quotation on the official list of a securities exchange,such listing being a primary listing;
-
(c) a registered business trust (as defined in the Business Trusts Act (Cap. 31A)) any or all of the units in which are listed for quotation on the official list of a securities exchange;
- (d) a recognised business trust any or all of the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing; or
- (e) a collective investment scheme that is a trust, that invests primarily in real estate and real estaterelated assets specified by the Authority in the Code on Collective Investment Schemes, and any or all the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing ("Real Estate Investment Trust").
-
- For further instructions and guidance on how to complete this notification form, please refer to section 7 of the User Guide on Electronic Notification Forms which can be accessed at the Authority's Internet website at http://www.mas.gov.sg (under "Regulations and Financial Stability", "Regulations, Guidance and Licensing", "Securities, Futures and Fund Management", "Forms", "Disclosure of Interests").
Part I - General
- Name of Listed Issuer:
UNITED ENVIROTECH LTD.
-
- Type of Listed Issuer:
- ✔ Company/Corporation
- Registered/Recognised Business Trust
-
Real Estate Investment Trust
-
Is more than one Substantial Shareholder/Unitholder giving notice in this form?
-
✔ No (Please proceed to complete Part II)
- Yes (Please proceed to complete Parts III & IV)
-
- Date of notification to Listed Issuer:
24-Apr-2015
Part II - Substantial Shareholder/Unitholder and Transaction(s) Details
[To be used for single Substantial Shareholder/Unitholder to give notice]
- Name of Substantial Shareholder/Unitholder:
CENVIT (CAYMAN) COMPANY LIMITED
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
| Yes |
|---|
✔ No
Transaction A
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
22-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 2 above, please specify the date): 3.
22-Apr-2015
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): 4.
- Type of securities which are the subject of the transaction (more than one option may be chosen): 5.
✔ Voting shares/units
- Rights/Options/Warrants over voting shares/units
- Convertible debentures over voting shares/units (conversion price known)
- Others (please specify):
Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholder/Unitholder: 6.
146,331,436 issued ordinary shares in the capital of United Envirotech Ltd.
- Amount of consideration paid or received by Substantial Shareholder/Unitholder (excluding brokerage and stamp duties):
S\$241,446,869.40
- Circumstance giving rise to the interest or change in interest:
Acquisition of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Securities via physical settlement of derivatives or other securities
- Securities pursuant to rights issue
- Securities via a placement
- Securities following conversion/exercise of rights, options, warrants or other convertibles
Disposal of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Other circumstances:
- ✔ Acceptance of take-over offer for the Listed Issuer
- Corporate action by the Listed Issuer which Substantial Shareholder/Unitholder did not participate in (please specify):
Others (please specify):
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 9.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
442,209,175 | 146,331,436 | 588,540,611 |
| As a percentage of total no. of voting shares/units: |
45.19 | 14.95 | 60.14 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
588,540,611 | 0 | 588,540,611 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 11 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 10.
| N.A. | ||
|---|---|---|
- Attachments (if any):

(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
13. Remarks (if any):
The above shareholding percentages are computed based on 978,485,868 UEL Shares. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
Final settlement in respect of the remaining UEL Shares tendered in acceptance of the Offer up to 5.30 p.m. on 16 April 2015 that had yet to be settled by CKM (Cayman) Company Limited has taken place on 22 April 2015. As such, this notification shows the last tranche of UEL Shares to be credited directly to the CDP securities account of CENVIT (Cayman) Company Limited on 22 April 2015 upon settlement.
Transaction Reference Number (auto-generated):
| 2 4 4 3 1 0 1 4 2 1 5 2 4 1 0 |
|---|
| ------------------------------------------------------------------------- |
Transaction B
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 2 above, please specify the date): 3.
23-Apr-2015
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): 4.
- Type of securities which are the subject of the transaction (more than one option may be chosen): 5.
- ✔ Voting shares/units
- Rights/Options/Warrants over voting shares/units
- Convertible debentures over voting shares/units (conversion price known)
- Others (please specify):
Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholder/Unitholder: 6.
30,303,031 issued ordinary shares in the capital of United Envirotech Ltd.
- Amount of consideration paid or received by Substantial Shareholder/Unitholder (excluding brokerage and stamp duties):
S\$50,000,001.15
| Acquisition of: | ||
|---|---|---|
| -- | ----------------- | -- |
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Securities via physical settlement of derivatives or other securities
- Securities pursuant to rights issue
- ✔ Securities via a placement
- Securities following conversion/exercise of rights, options, warrants or other convertibles
Disposal of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
Other circumstances:
- Acceptance of take-over offer for the Listed Issuer
- Corporate action by the Listed Issuer which Substantial Shareholder/Unitholder did not participate in (please specify):
Others (please specify):
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 9.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
588,540,611 | 0 | 588,540,611 |
| As a percentage of total no. of voting shares/units: |
60.15 | 0 | 60.15 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
618,843,642 | 0 | 618,843,642 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 11 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 10.
| N.A. | ||
|---|---|---|
- Attachments (if any):

(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
13. Remarks (if any):
As at 23 April 2015, United Envirotech Ltd. ("UEL") has allotted and issued 30,303,031 placement shares at a price of S\$1.65 per placement share to CENVIT (Cayman) Company Limited pursuant to the placing agreement dated 11 November 2014 between UEL and CKM (Cayman) Company Limited (the "Placement").
Before the Placement, the total number of issued UEL Shares amounted to 978,485,868. Pursuant to the Placement, the total number of issued UEL Shares increased to 1,008,788,899. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
Transaction Reference Number (auto-generated):
| 0 | 0 | 7 | 8 | 1 | 1 | 2 | 4 | 1 | 5 | 6 | 0 | 4 | 9 | 1 | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | -- |
Transaction C
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 2 above, please specify the date): 3.
23-Apr-2015
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): 4.
- Type of securities which are the subject of the transaction (more than one option may be chosen): 5.
- ✔ Voting shares/units
- Rights/Options/Warrants over voting shares/units
- Convertible debentures over voting shares/units (conversion price known)
- Others (please specify):
Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholder/Unitholder: 6.
N.A.
- Amount of consideration paid or received by Substantial Shareholder/Unitholder (excluding brokerage and stamp duties):
N.A.
| Acquisition of: | ||
|---|---|---|
| -- | ----------------- | -- |
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Securities via physical settlement of derivatives or other securities
- Securities pursuant to rights issue
- Securities via a placement
- Securities following conversion/exercise of rights, options, warrants or other convertibles
Disposal of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
Other circumstances:
- Acceptance of take-over offer for the Listed Issuer
- Corporate action by the Listed Issuer which Substantial Shareholder/Unitholder did not
- participate in (please specify): ✔
Pursuant to the conversion of US\$44.0 million convertible bonds due 2016 held by KKR China Water Investment Limited into an aggregate number of 117,926,189 ordinary shares in the capital of United Envirotech Ltd. ("UEL") at the conversion price of S\$0.45 per conversion share (the "CB Conversion"), the total number of issued UEL shares has increased and therefore caused a dilution in the percentage shareholding interests of CENVIT (Cayman) Company Limited in UEL.
Others (please specify):
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 9.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
618,843,642 | 0 | 618,843,642 |
| As a percentage of total no. of voting shares/units: |
61.35 | 0 | 61.35 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
618,843,642 | 0 | 618,843,642 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 11 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 10.
| N.A. | ||
|---|---|---|
- Attachments (if any):

(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
13. Remarks (if any):
Before the CB Conversion, the total number of issued UEL Shares amounted to 1,008,788,899. Pursuant to the CB Conversion, the total number of issued UEL Shares increased to 1,126,715,088. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
| 2 7 |
Transaction Reference Number (auto-generated): 1 8 2 1 2 4 1 5 6 5 1 7 2 |
|
|---|---|---|
| Item 14 is to be completed by an individual submitting this notification form on behalf of the Substantial Shareholder/Unitholder. |
||
| 14. | Particulars of Individual submitting this notification form to the Listed Issuer: | |
| (a) | Name of Individual: | |
| Bernia Tan | ||
| (b) | Designation (if applicable): | |
| Partner | ||
| (c) | Name of entity (if applicable): | |
| Rajah & Tann Singapore LLP | ||
| Issuer & Securities | |
|---|---|
| Issuer/ Manager | UNITED ENVIROTECH LTD. |
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 |
| Stapled Security | No |
| Announcement Details | |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
| Date & Time of Broadcast | 27-Apr-2015 17:11:50 |
| Status | New |
| Announcement Sub Title | CITIC Env and its affiliates |
| Announcement Reference | SG150427OTHR7KL2 |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Executive Director and Chief Executive Officer |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Please see attached Form 3 |
| Additional Details | |
|---|---|
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) |
| Date of receipt of notice by Listed Issuer | 24/04/2015 |
| Attachments | 10 CITIC.Env.and.its.affiliates.Form.3.24.April.2015.pdf if you are unable to view the above file, please click the link below. 10 CITIC. Env. and. its. affiliates. Form. 3.24. April. 2015.pdf Total size $=160K$ |
SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012
NOTIFICATION FORM FOR SUBSTANTIAL SHAREHOLDER(S)/ UNITHOLDER(S) IN RESPECT OF INTERESTS IN SECURITIES
FORM 3 (Electronic Format)
Explanatory Notes
-
- Please read the explanatory notes carefully before completing the notification form.
-
- This form is for a Substantial Shareholder(s)/Unitholder(s) to give notice under section 135, 136, 137, 137J (as applicable to sections 135, 136 and 137) or 137U (as applicable to sections 135, 136 and 137) of the Securities and Futures Act (the "SFA").
-
- This electronic Form 3 and a separate Form C, containing the particulars and contact details of the Substantial Shareholder(s)/Unitholder(s), must be completed by the Substantial Shareholder(s)/ Unitholder(s) or a person duly authorised by the Substantial Shareholder(s)/Unitholder(s) to do so. The person so authorised should maintain records of information furnished to him by the Substantial Shareholder(s)/Unitholder(s).
-
- This form and Form C, are to be completed electronically and sent to the Listed Issuer via an electronic medium such as an e-mail attachment. The Listed Issuer will attach both forms to the prescribed SGXNet announcement template for dissemination as required under section 137G(1), 137R(1) or 137ZC(1) of the SFA, as the case may be. While Form C will be attached to the announcement template, it will not be disseminated to the public and is made available only to the Monetary Authority of Singapore (the "Authority").
-
- Where a transaction results in similar notifiable obligations on the part of more than one Substantial Shareholder/Unitholder, all of these Substantial Shareholders/Unitholders may give notice using the same notification form.
-
- A single form may be used by a Substantial Shareholder/Unitholder for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of becoming aware of the earliest transaction). There must be no netting-off of two or more notifiable transactions even if they occur within the same day.
-
- All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking the paper clip icon on the bottom left-hand corner or in item 11 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.
-
- Except for item 5 of Part II and item 1 of Part IV, please select only one option from the relevant check boxes.
-
- Please note that submission of any false or misleading information is an offence under Part VII of the SFA.
-
- In this form, the term "Listed Issuer" refers to -
- (a) a company incorporated in Singapore any or all of the shares in which are listed for quotation on the official list of a securities exchange;
-
(b) a corporation (not being a company incorporated in Singapore, or a collective investment scheme constituted as a corporation) any or all of the shares in which are listed for quotation on the official list of a securities exchange,such listing being a primary listing;
-
(c) a registered business trust (as defined in the Business Trusts Act (Cap. 31A)) any or all of the units in which are listed for quotation on the official list of a securities exchange;
- (d) a recognised business trust any or all of the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing; or
- (e) a collective investment scheme that is a trust, that invests primarily in real estate and real estaterelated assets specified by the Authority in the Code on Collective Investment Schemes, and any or all the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing ("Real Estate Investment Trust").
-
- For further instructions and guidance on how to complete this notification form, please refer to section 7 of the User Guide on Electronic Notification Forms which can be accessed at the Authority's Internet website at http://www.mas.gov.sg (under "Regulations and Financial Stability", "Regulations, Guidance and Licensing", "Securities, Futures and Fund Management", "Forms", "Disclosure of Interests").
Part I - General
- Name of Listed Issuer:
UNITED ENVIROTECH LTD.
-
- Type of Listed Issuer:
- ✔ Company/Corporation
- Registered/Recognised Business Trust
-
Real Estate Investment Trust
-
Is more than one Substantial Shareholder/Unitholder giving notice in this form?
-
No (Please proceed to complete Part II)
- ✔ Yes (Please proceed to complete Parts III & IV)
-
- Date of notification to Listed Issuer:
24-Apr-2015
| Part III - Substantial Shareholder(s)/Unitholder(s) Details | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| [To be used for multiple Substantial Shareholders/Unitholders to give notice] | ||||||||||
| A Substantial Shareholder/Unitholder |
||||||||||
| 1. | Name of Substantial Shareholder/Unitholder: | |||||||||
| CITIC ENVIRONMENT (INTERNATIONAL) COMPANY LIMITED | ||||||||||
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? Yes ✔ No |
|||||||||
| 3. | Notification in respect of: | |||||||||
| ✔ Becoming a Substantial Shareholder/Unitholder | ||||||||||
| Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | ||||||||||
| Ceasing to be a Substantial Shareholder/Unitholder | ||||||||||
| 4. | Date of acquisition of or change in interest: | |||||||||
| 23-Apr-2015 | ||||||||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest |
(if different from item 4 above, please specify the date): | ||||||||
| 23-Apr-2015 | ||||||||||
| 6. | Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
|||||||||
| 7. | Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: |
|||||||||
| Immediately before the transaction | Direct Interest | Deemed Interest | Total | |||||||
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 0 | 0 | |||||||
| units: | As a percentage of total no. of voting shares/ | 0 | 0 | 0 | ||||||
| Immediately after the transaction | Direct Interest | Deemed Interest | Total | |||||||
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 | |||||||
| 0 | 87.67 | 87.67 |
units:
As a percentage of total no. of voting shares/
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
Following the completion of the Offer, the Convertible Bonds Offer and the Proposed Placement, pursuant to the terms of the CITIC Subscription Agreement, the CITIC Loan Capitalisation took place on 23 April 2015 and an aggregate of 618,843,641 Offeror Shares were allotted and issued to CITIC Environment, thus giving CITIC Environment a controlling interest in the Offeror. Pursuant to Section 4(4) of the Securities and Futures Act, Chapter 289 of Singapore, CITIC Environment is deemed interested in the UEL Shares held indirectly by the Offeror. All the UEL Shares tendered in acceptance of the Offer are held through the Offeror's wholly-owned subsidiaries, namely, CENVIT (Cayman) Company Limited, KKR China Water Investment Limited ("KKRCWIL"), Green Resources Limited and P&L Capital Limited.
In addition, KKRCWIL has converted US\$44.0 million convertible bonds due 2016 into an aggregate number of 117,926,189 ordinary shares in the capital of UEL at the conversion price of S\$0.45 per conversion share (the "CB Conversion"), and UEL has allotted and issued 117,926,189 new UEL Shares to KKRCWIL as at 23 April 2015.
Unless otherwise defined, all capitalised terms not defined in this notice shall have the same meaning as used in the offer document dated 19 March 2015.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
CITIC Environment has a controlling interest in the Offeror and pursuant to Section 4(4) of the Securities and Futures Act, Chapter 289 of Singapore, CITIC Environment is deemed interested in the UEL Shares held indirectly by the Offeror.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)

- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
12. Remarks (if any):
Pursuant to the Proposed Placement and the CB Conversion, the total number of issued UEL Shares as at 23 April 2015 amounts to 1,126,715,088 UEL Shares. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
| B Substantial Shareholder/Unitholder |
|
|---|---|
| 1. | Name of Substantial Shareholder/Unitholder: | ||
|---|---|---|---|
CITIC ENVIRONMENT INVESTMENT GROUP CO., LTD.
-
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
- Yes
- ✔ No
-
- Notification in respect of:
- ✔ Becoming a Substantial Shareholder/Unitholder
- Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
| 23-Apr-2015 | |
|---|---|
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 0 | 0 |
| As a percentage of total no. of voting shares/ units: |
0 | 0 | 0 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that CITIC Environment is deemed interested in through CITIC Environment's shareholding interest in the Offeror.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
CITIC Environment (International) Company Limited is wholly-owned by CITIC Environment Investment Group Co., Ltd. (formerly known as CITIC Environment Protection Co. Ltd.).
Pursuant to Section 4(4) of the Securities and Futures Act, Chapter 289 of Singapore, CITIC Environment Investment Group Co., Ltd. (formerly known as CITIC Environment Protection Co. Ltd.) is deemed interested in the UEL Shares held indirectly by the Offeror.
See paragraph 9 of Substantial Shareholder A's notification.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
(b) Date of the Initial Announcement:
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
- Remarks (if any):
Pursuant to the Proposed Placement and the CB Conversion, the total number of issued UEL Shares as at 23 April 2015 amounts to 1,126,715,088 UEL Shares. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
C Substantial Shareholder/Unitholder
- Name of Substantial Shareholder/Unitholder:
CITIC CORPORATION LIMITED
-
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
- Yes
-
✔ No
-
- Notification in respect of:
- ✔ Becoming a Substantial Shareholder/Unitholder
- Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
- 23-Apr-2015
- Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 0 | 0 |
| As a percentage of total no. of voting shares/ units: |
0 | 0 | 0 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that CITIC Environment is deemed interested in through CITIC Environment's shareholding interest in the Offeror.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
| CITIC Environment Investment Group Co., Ltd. (formerly known as CITIC Environment Protection Co. Ltd.) is | ||
|---|---|---|
| wholly-owned by CITIC Corporation Limited. | ||
| Pursuant to Section 4(4) of the Securities and Futures Act, Chapter 289 of Singapore, CITIC Corporation Limited is deemed interested in the UEL Shares held indirectly by the Offeror. |
||
| See paragraph 9 of the notifications of Substantial Shareholder A and Substantial Shareholder B respectively. | ||
| 10. | Attachments (if any): | |
| (The total file size for all attachment(s) should not exceed 1MB.) | ||
| 11. | If this is a replacement of an earlier notification, please provide: | |
| (a) | SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) | Date of the Initial Announcement: | |
| (c) | 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): | |
| thereof are due to rounding. | ||
| April 2015 amounts to 1,126,715,088 UEL Shares. Any discrepancies in the percentages listed and the totals | ||
| Pursuant to the Proposed Placement and the CB Conversion, the total number of issued UEL Shares as at 23 D Substantial Shareholder/Unitholder |
||
| 1. | Name of Substantial Shareholder/Unitholder: | |
| CITIC Limited | ||
| 2. | Yes | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? |
| ✔ No | ||
| 3. | Notification in respect of: ✔ Becoming a Substantial Shareholder/Unitholder |
|
| Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | ||
| Ceasing to be a Substantial Shareholder/Unitholder | ||
| 4. | Date of acquisition of or change in interest: |
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 0 | 0 |
| As a percentage of total no. of voting shares/ units: |
0 | 0 | 0 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that CITIC Environment is deemed interested in through CITIC Environment's shareholding interest in the Offeror.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
CITIC Corporation Limited is wholly-owned by CITIC Limited.
Pursuant to Section 4(4) of the Securities and Futures Act, Chapter 289 of Singapore, CITIC Limited is deemed interested in the UEL Shares held indirectly by the Offeror.
See paragraph 9 of the notifications of Substantial Shareholder A, Substantial Shareholder B and Substantial Shareholder C respectively.
| (The total file size for all attachment(s) should not exceed 1MB.) 11. If this is a replacement of an earlier notification, please provide: (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (b) Date of the Initial Announcement: (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: 12. Remarks (if any): Pursuant to the Proposed Placement and the CB Conversion, the total number of issued UEL Shares as at 23 April 2015 amounts to 1,126,715,088 UEL Shares. Any discrepancies in the percentages listed and the totals thereof are due to rounding. E Substantial Shareholder/Unitholder 1. Name of Substantial Shareholder/Unitholder: CITIC GROUP CORPORATION 2. Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? Yes ✔ No 3. Notification in respect of: ✔ Becoming a Substantial Shareholder/Unitholder Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder Ceasing to be a Substantial Shareholder/Unitholder 4. Date of acquisition of or change in interest: 23-Apr-2015 5. Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 23-Apr-2015 6. Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
Attachments (if any): | |
|---|---|---|
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 0 | 0 |
| As a percentage of total no. of voting shares/ units: |
0 | 0 | 0 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| 0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that CITIC Environment is deemed interested in through CITIC Environment's shareholding interest in the Offeror.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
CITIC Limited is a subsidiary of CITIC Group Corporation.
Pursuant to Section 4(4) of the Securities and Futures Act, Chapter 289 of Singapore, CITIC Group Corporation is deemed interested in the UEL Shares held indirectly by the Offeror.
See paragraph 9 of the notifications of Substantial Shareholder A, Substantial Shareholder B, Substantial Shareholder C and Substantial Shareholder D respectively.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
| (b) | Date of the Initial Announcement: | |||||||
|---|---|---|---|---|---|---|---|---|
| (c) | 15-digit transaction reference number of the relevant transaction in the Form 3 |
|---|---|
| which was attached in the Initial Announcement: |
12. Remarks (if any):
Pursuant to the Proposed Placement and the CB Conversion, the total number of issued UEL Shares as at 23 April 2015 amounts to 1,126,715,088 UEL Shares. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
Part IV - Transaction details
| Type of securities which are the subject of the transaction (more than one option may be chosen): |
|---|
| ✔ Voting shares/units |
| Rights/Options/Warrants over voting shares/units |
| Convertible debentures over voting shares/units (conversion price known) |
| Others (please specify): |
| Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholders/Unitholders: |
| Not applicable |
| Amount of consideration paid or received by Substantial Shareholders/Unitholders (excluding brokerage and stamp duties): |
| Not applicable |
| Circumstance giving rise to the interest or change in interest: |
| Acquisition of: |
| Securities via market transaction |
| Securities via off-market transaction (e.g. married deals) |
| Securities via physical settlement of derivatives or other securities |
| Securities pursuant to rights issue |
| Securities via a placement |
| Securities following conversion/exercise of rights, options, warrants or other convertibles |
| Disposal of: |
| Securities via market transaction |
| Securities via off-market transaction (e.g. married deals) |
| Other circumstances: |
| Acceptance of take-over offer for the Listed Issuer |
| Corporate action by the Listed Issuer which Substantial Shareholders/Unitholders did not participate in (please specify): |
| ✔ Others (please specify): |
Item 5 is to be completed by an individual submitting this notification form on behalf of the Substantial Shareholders/Unitholders.
- Particulars of Individual submitting this notification form to the Listed Issuer:
(a) Name of Individual:
Bernia Tan
(b) Designation (if applicable):
Partner
(c) Name of entity (if applicable):
Rajah & Tann Singapore LLP
Transaction Reference Number (auto-generated):
7 8 4 4 3 0 2 4 1 8 6 2 8 4 3
| Issuer & Securities | |
|---|---|
| Issuer/Manager | UNITED ENVIROTECH LTD. |
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 |
| Stapled Security | No. |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
|---|---|
| Date & Time of Broadcast | 27-Apr-2015 17:12:10 |
| Status | New |
| Announcement Sub Title | CKM (Cayman) Company Limited |
| Announcement Reference | SG150427OTHRCJA1 |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Executive Director and Chief Executive Director |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Please see attached Form 3 |
| Additional Details | |
|---|---|
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) |
| Date of receipt of notice by Listed Issuer | 24/04/2015 |
| Attachments | UCKMCayman.Company.Limited.Form.3.24.April2015.pdf if you are unable to view the above file, please click the link below. 10 CKM. Cayman Company Limited Form 3.24 April2015.pdf Total size $=147K$ |
SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012
NOTIFICATION FORM FOR SUBSTANTIAL SHAREHOLDER(S)/ UNITHOLDER(S) IN RESPECT OF INTERESTS IN SECURITIES
FORM 3 (Electronic Format)
Explanatory Notes
-
- Please read the explanatory notes carefully before completing the notification form.
-
- This form is for a Substantial Shareholder(s)/Unitholder(s) to give notice under section 135, 136, 137, 137J (as applicable to sections 135, 136 and 137) or 137U (as applicable to sections 135, 136 and 137) of the Securities and Futures Act (the "SFA").
-
- This electronic Form 3 and a separate Form C, containing the particulars and contact details of the Substantial Shareholder(s)/Unitholder(s), must be completed by the Substantial Shareholder(s)/ Unitholder(s) or a person duly authorised by the Substantial Shareholder(s)/Unitholder(s) to do so. The person so authorised should maintain records of information furnished to him by the Substantial Shareholder(s)/Unitholder(s).
-
- This form and Form C, are to be completed electronically and sent to the Listed Issuer via an electronic medium such as an e-mail attachment. The Listed Issuer will attach both forms to the prescribed SGXNet announcement template for dissemination as required under section 137G(1), 137R(1) or 137ZC(1) of the SFA, as the case may be. While Form C will be attached to the announcement template, it will not be disseminated to the public and is made available only to the Monetary Authority of Singapore (the "Authority").
-
- Where a transaction results in similar notifiable obligations on the part of more than one Substantial Shareholder/Unitholder, all of these Substantial Shareholders/Unitholders may give notice using the same notification form.
-
- A single form may be used by a Substantial Shareholder/Unitholder for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of becoming aware of the earliest transaction). There must be no netting-off of two or more notifiable transactions even if they occur within the same day.
-
- All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking the paper clip icon on the bottom left-hand corner or in item 11 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.
-
- Except for item 5 of Part II and item 1 of Part IV, please select only one option from the relevant check boxes.
-
- Please note that submission of any false or misleading information is an offence under Part VII of the SFA.
-
- In this form, the term "Listed Issuer" refers to -
- (a) a company incorporated in Singapore any or all of the shares in which are listed for quotation on the official list of a securities exchange;
-
(b) a corporation (not being a company incorporated in Singapore, or a collective investment scheme constituted as a corporation) any or all of the shares in which are listed for quotation on the official list of a securities exchange,such listing being a primary listing;
-
(c) a registered business trust (as defined in the Business Trusts Act (Cap. 31A)) any or all of the units in which are listed for quotation on the official list of a securities exchange;
- (d) a recognised business trust any or all of the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing; or
- (e) a collective investment scheme that is a trust, that invests primarily in real estate and real estaterelated assets specified by the Authority in the Code on Collective Investment Schemes, and any or all the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing ("Real Estate Investment Trust").
-
- For further instructions and guidance on how to complete this notification form, please refer to section 7 of the User Guide on Electronic Notification Forms which can be accessed at the Authority's Internet website at http://www.mas.gov.sg (under "Regulations and Financial Stability", "Regulations, Guidance and Licensing", "Securities, Futures and Fund Management", "Forms", "Disclosure of Interests").
Part I - General
- Name of Listed Issuer:
UNITED ENVIROTECH LTD.
-
- Type of Listed Issuer:
- ✔ Company/Corporation
- Registered/Recognised Business Trust
-
Real Estate Investment Trust
-
Is more than one Substantial Shareholder/Unitholder giving notice in this form?
-
✔ No (Please proceed to complete Part II)
- Yes (Please proceed to complete Parts III & IV)
-
- Date of notification to Listed Issuer:
24-Apr-2015
Part II - Substantial Shareholder/Unitholder and Transaction(s) Details
[To be used for single Substantial Shareholder/Unitholder to give notice]
- Name of Substantial Shareholder/Unitholder:
CKM (CAYMAN) COMPANY LIMITED
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
| Yes |
|---|
✔ No
Transaction A
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 2 above, please specify the date): 3.
23-Apr-2015
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): 4.
- Type of securities which are the subject of the transaction (more than one option may be chosen): 5.
✔ Voting shares/units
- Rights/Options/Warrants over voting shares/units
- Convertible debentures over voting shares/units (conversion price known)
- Others (please specify):
Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholder/Unitholder: 6.
30,303,031 issued ordinary shares in the capital of United Envirotech Ltd.
- Amount of consideration paid or received by Substantial Shareholder/Unitholder (excluding brokerage and stamp duties):
S\$50,000,001.15
- Circumstance giving rise to the interest or change in interest:
Acquisition of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Securities via physical settlement of derivatives or other securities
- Securities pursuant to rights issue
- ✔ Securities via a placement
- Securities following conversion/exercise of rights, options, warrants or other convertibles
Disposal of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
Other circumstances:
- Acceptance of take-over offer for the Listed Issuer
- Corporate action by the Listed Issuer which Substantial Shareholder/Unitholder did not
- participate in (please specify):
Others (please specify):
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 9.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 869,844,380 | 869,844,380 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 11 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 10.
Final settlement in respect of all the UEL Shares tendered in acceptance of the Offer took place on 22 April 2015. As disclosed in the previous notification that was publicly released on 21 April 2014, all the 839,541,349 UEL Shares tendered in acceptance of the Offer are held through CKM's wholly-owned subsidiaries ("CKM Subsidiaries"), and pursuant to Section 4(4) of the Securities and Futures Act, Chapter 289 of Singapore, CKM is deemed interested in the UEL Shares held directly by the CKM Subsidiaries.
CKM (Cayman) Company Limited issued a notification letter on 16 April 2015 to UEL to notify UEL that (i) completion of the placement of UEL shares under the placing agreement dated 11 November 2014 would take place on 23 April 2015 (the "Placement Completion Date") and (ii) CENVIT (Cayman) Company Limited ("CENVIT") will be subscribing for 30,303,031 UEL shares on the Placement Completion Date. Accordingly, as at 23 April 2015, UEL has alloted and issued 30,303,031 placement shares at a price of S\$1.65 per placement share to CENVIT.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
| (b) | Date of the Initial Announcement: | ||||||||
|---|---|---|---|---|---|---|---|---|---|
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
13. Remarks (if any):
The above shareholding percentages are computed based on a total number of 1,008,788,899 issued UEL Shares pursuant to the placement of UEL Shares to CENVIT as described above. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
Transaction Reference Number (auto-generated):
| 4 | 0 | 2 | 9 | 1 | 0 | 1 | 4 | 2 | 1 | 5 | 1 | 7 | 3 | 8 | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | -- |
Transaction B
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 2 above, please specify the date): 3.
23-Apr-2015
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): 4.
- Type of securities which are the subject of the transaction (more than one option may be chosen): 5.
- ✔ Voting shares/units
- Rights/Options/Warrants over voting shares/units
- ✔ Convertible debentures over voting shares/units (conversion price known)
- Others (please specify):
Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholder/Unitholder: 6.
117,926,189 issued ordinary shares in the capital of United Envirotech Ltd.
- Amount of consideration paid or received by Substantial Shareholder/Unitholder (excluding brokerage and stamp duties):
N.A.
- Circumstance giving rise to the interest or change in interest:
Acquisition of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Securities via physical settlement of derivatives or other securities
- Securities pursuant to rights issue
- Securities via a placement
- ✔ Securities following conversion/exercise of rights, options, warrants or other convertibles
Disposal of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Other circumstances:
- Acceptance of take-over offer for the Listed Issuer
- Corporate action by the Listed Issuer which Substantial Shareholder/Unitholder did not
- participate in (please specify):
Others (please specify):
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 9.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 869,844,380 | 869,844,380 |
| As a percentage of total no. of voting shares/units: |
0 | 86.23 | 86.23 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 11 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 10.
Subsequent to the placement as mentioned above, KKR China Water Investment Limited has converted the aggregate outstanding principal amount of US\$44.0 million convertible bonds due 2016 held by KKR China Water Investment Limited into an aggregate number of 117,926,189 ordinary shares in the capital of UEL (the "Conversion Shares") at the conversion price of S\$0.45 per Conversion Share.
11. Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
13. Remarks (if any):
The above shareholding percentages are computed based on a total number of 1,126,715,088 issued UEL Shares pursuant to the conversion by KKR China Water Investment Limited of its convertible bonds into UEL Shares as described above. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
| 2 5 |
Transaction Reference Number (auto-generated): 0 6 1 1 2 4 1 5 6 4 9 2 1 |
|
|---|---|---|
| Item 14 is to be completed by an individual submitting this notification form on behalf of the Substantial Shareholder/Unitholder. |
||
| 14. | Particulars of Individual submitting this notification form to the Listed Issuer: | |
| (a) | Name of Individual: | |
| Bernia Tan | ||
| (b) | Designation (if applicable): | |
| Partner | ||
| (c) | Name of entity (if applicable): | |
| Issuer & Securities | |
|---|---|
| Issuer/ Manager | UNITED ENVIROTECH LTD. |
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 |
| Stapled Security | No |
| Announcement Details | |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
| Date & Time of Broadcast | 27-Apr-2015 17:12:26 |
| Status | New |
| Announcement Sub Title | KKR CHINA WATER INVESTMENT LIMITED |
| Announcement Reference | SG150427OTHRTBEQ |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Executive Director and Chief Executive Officer |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Please see attached Form 3 |
| Additional Details | |
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) |
| Date of receipt of notice by Listed Issuer | 24/04/2015 |
| Attachments | UKKR.China.Water.Investment.Limited.Form.3.24.April2015.pdf if you are unable to view the above file, please click the link below. |
SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012
NOTIFICATION FORM FOR SUBSTANTIAL SHAREHOLDER(S)/ UNITHOLDER(S) IN RESPECT OF INTERESTS IN SECURITIES
FORM 3 (Electronic Format)
Explanatory Notes
-
- Please read the explanatory notes carefully before completing the notification form.
-
- This form is for a Substantial Shareholder(s)/Unitholder(s) to give notice under section 135, 136, 137, 137J (as applicable to sections 135, 136 and 137) or 137U (as applicable to sections 135, 136 and 137) of the Securities and Futures Act (the "SFA").
-
- This electronic Form 3 and a separate Form C, containing the particulars and contact details of the Substantial Shareholder(s)/Unitholder(s), must be completed by the Substantial Shareholder(s)/ Unitholder(s) or a person duly authorised by the Substantial Shareholder(s)/Unitholder(s) to do so. The person so authorised should maintain records of information furnished to him by the Substantial Shareholder(s)/Unitholder(s).
-
- This form and Form C, are to be completed electronically and sent to the Listed Issuer via an electronic medium such as an e-mail attachment. The Listed Issuer will attach both forms to the prescribed SGXNet announcement template for dissemination as required under section 137G(1), 137R(1) or 137ZC(1) of the SFA, as the case may be. While Form C will be attached to the announcement template, it will not be disseminated to the public and is made available only to the Monetary Authority of Singapore (the "Authority").
-
- Where a transaction results in similar notifiable obligations on the part of more than one Substantial Shareholder/Unitholder, all of these Substantial Shareholders/Unitholders may give notice using the same notification form.
-
- A single form may be used by a Substantial Shareholder/Unitholder for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of becoming aware of the earliest transaction). There must be no netting-off of two or more notifiable transactions even if they occur within the same day.
-
- All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking the paper clip icon on the bottom left-hand corner or in item 11 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.
-
- Except for item 5 of Part II and item 1 of Part IV, please select only one option from the relevant check boxes.
-
- Please note that submission of any false or misleading information is an offence under Part VII of the SFA.
-
- In this form, the term "Listed Issuer" refers to -
- (a) a company incorporated in Singapore any or all of the shares in which are listed for quotation on the official list of a securities exchange;
-
(b) a corporation (not being a company incorporated in Singapore, or a collective investment scheme constituted as a corporation) any or all of the shares in which are listed for quotation on the official list of a securities exchange,such listing being a primary listing;
-
(c) a registered business trust (as defined in the Business Trusts Act (Cap. 31A)) any or all of the units in which are listed for quotation on the official list of a securities exchange;
- (d) a recognised business trust any or all of the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing; or
- (e) a collective investment scheme that is a trust, that invests primarily in real estate and real estaterelated assets specified by the Authority in the Code on Collective Investment Schemes, and any or all the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing ("Real Estate Investment Trust").
-
- For further instructions and guidance on how to complete this notification form, please refer to section 7 of the User Guide on Electronic Notification Forms which can be accessed at the Authority's Internet website at http://www.mas.gov.sg (under "Regulations and Financial Stability", "Regulations, Guidance and Licensing", "Securities, Futures and Fund Management", "Forms", "Disclosure of Interests").
Part I - General
- Name of Listed Issuer:
UNITED ENVIROTECH LTD.
-
- Type of Listed Issuer:
- ✔ Company/Corporation
- Registered/Recognised Business Trust
-
Real Estate Investment Trust
-
Is more than one Substantial Shareholder/Unitholder giving notice in this form?
-
✔ No (Please proceed to complete Part II)
- Yes (Please proceed to complete Parts III & IV)
-
- Date of notification to Listed Issuer:
24-Apr-2015
Part II - Substantial Shareholder/Unitholder and Transaction(s) Details
[To be used for single Substantial Shareholder/Unitholder to give notice]
- Name of Substantial Shareholder/Unitholder:
KKR CHINA WATER INVESTMENT LIMITED
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
| Yes |
|---|
✔ No
Transaction A
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 2 above, please specify the date): 3.
23-Apr-2015
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): 4.
- Type of securities which are the subject of the transaction (more than one option may be chosen): 5.
✔ Voting shares/units
Rights/Options/Warrants over voting shares/units
- Convertible debentures over voting shares/units (conversion price known)
- Others (please specify):
Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholder/Unitholder: 6.
N.A.
- Amount of consideration paid or received by Substantial Shareholder/Unitholder (excluding brokerage and stamp duties):
N.A.
- Circumstance giving rise to the interest or change in interest:
Acquisition of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Securities via physical settlement of derivatives or other securities
- Securities pursuant to rights issue
- Securities via a placement
- Securities following conversion/exercise of rights, options, warrants or other convertibles
Disposal of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
Other circumstances:
- Acceptance of take-over offer for the Listed Issuer
- Corporate action by the Listed Issuer which Substantial Shareholder/Unitholder did not
- participate in (please specify): ✔
As at 23 April 2015, United Envirotech Ltd. ("UEL") has allotted and issued 30,303,031 placement shares at a price of S\$1.65 per placement share to CENVIT (Cayman) Company Limited pursuant to the placing agreement dated 11 November 2014 between UEL and CKM (Cayman) Company Limited (the "Placement"). Pursuant to the Placement, the total number of issued UEL Shares has increased and therefore caused a dilution in the percentage shareholding interests of KKR China Water Investment Limited in UEL.
Others (please specify):
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 9.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
151,097,816 | 0 | 151,097,816 |
| As a percentage of total no. of voting shares/units: |
15.44 | 0 | 15.44 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
151,097,816 | 0 | 151,097,816 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 11 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 10.
| N.A. | ||
|---|---|---|
- Attachments (if any):

(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
13. Remarks (if any):
Before the Placement, the total number of issued UEL Shares amounted to 978,485,868. Pursuant to the Placement, the total number of issued UEL Shares increased to 1,008,788,899. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
Transaction Reference Number (auto-generated):
| 2 4 4 3 1 0 1 4 2 1 5 2 4 1 0 |
|---|
| ------------------------------------------------------------------------- |
Transaction B
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 2 above, please specify the date): 3.
23-Apr-2015
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): 4.
- Type of securities which are the subject of the transaction (more than one option may be chosen): 5.
- ✔ Voting shares/units
- Rights/Options/Warrants over voting shares/units
- ✔ Convertible debentures over voting shares/units (conversion price known)
- Others (please specify):
Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholder/Unitholder: 6.
117,926,189 issued ordinary shares in the capital of United Envirotech Ltd.
- Amount of consideration paid or received by Substantial Shareholder/Unitholder (excluding brokerage and stamp duties):
N.A.
Acquisition of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
- Securities via physical settlement of derivatives or other securities
- Securities pursuant to rights issue
- Securities via a placement
- ✔ Securities following conversion/exercise of rights, options, warrants or other convertibles
Disposal of:
- Securities via market transaction
- Securities via off-market transaction (e.g. married deals)
Other circumstances:
- Acceptance of take-over offer for the Listed Issuer
- Corporate action by the Listed Issuer which Substantial Shareholder/Unitholder did not participate in (please specify):
Others (please specify):
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 9.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
151,097,816 | 0 | 151,097,816 |
| As a percentage of total no. of voting shares/units: |
14.98 | 0 | 14.98 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
269,024,005 | 0 | 269,024,005 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 11 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 10.
| N.A. | ||
|---|---|---|
- Attachments (if any):

(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
13. Remarks (if any):
Before the conversion of US\$44.0 million convertible bonds due 2016 held by KKR China Water Investment Limited into an aggregate number of 117,926,189 ordinary shares in the capital of UEL at the conversion price of S\$0.45 per conversion share (the "CB Conversion"), the total number of issued UEL shares amounted to 1,008,788,899. After the CB Conversion, the total number of issued UEL shares has increased to 1,126,715,088. Any discrepancies in the percentages listed and the totals thereof are due to rounding.
| 0 0 |
Transaction Reference Number (auto-generated): 1 0 1 1 2 4 1 5 7 3 5 9 1 |
|
|---|---|---|
| Item 14 is to be completed by an individual submitting this notification form on behalf of the Substantial Shareholder/Unitholder. |
||
| 14. | Particulars of Individual submitting this notification form to the Listed Issuer: | |
| (a) | Name of Individual: | |
| Bernia Tan | ||
| (b) | Designation (if applicable): | |
| Partner | ||
| (c) | Name of entity (if applicable): | |
| Rajah & Tann Singapore LLP | ||
| Holdings Limited | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s)::KKR China Water Investment |
|---|---|
| Issuer & Securities | |
| Issuer/ Manager | UNITED ENVIROTECH LTD. |
| Securities | UNITED ENVIROTECH LTD - SG1P29918163 - U19 |
| Stapled Security | No |
| Announcement Details | |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
| Date & Time of Broadcast | 27-Apr-2015 17:13:24 |
| Status | New |
| Announcement Sub Title | KKR China Water Investment Holdings Limited |
| Announcement Reference | SG150427OTHRPNHQ |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Executive Director and Chief Executive Officer |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Please see attached Form 3 |
| Additional Details | |
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) |
| Date of receipt of notice by Listed Issuer | 24/04/2015 |
| $A$ ttaalamante |
SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012
NOTIFICATION FORM FOR SUBSTANTIAL SHAREHOLDER(S)/ UNITHOLDER(S) IN RESPECT OF INTERESTS IN SECURITIES
FORM 3 (Electronic Format)
Explanatory Notes
-
- Please read the explanatory notes carefully before completing the notification form.
-
- This form is for a Substantial Shareholder(s)/Unitholder(s) to give notice under section 135, 136, 137, 137J (as applicable to sections 135, 136 and 137) or 137U (as applicable to sections 135, 136 and 137) of the Securities and Futures Act (the "SFA").
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- This electronic Form 3 and a separate Form C, containing the particulars and contact details of the Substantial Shareholder(s)/Unitholder(s), must be completed by the Substantial Shareholder(s)/ Unitholder(s) or a person duly authorised by the Substantial Shareholder(s)/Unitholder(s) to do so. The person so authorised should maintain records of information furnished to him by the Substantial Shareholder(s)/Unitholder(s).
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- This form and Form C, are to be completed electronically and sent to the Listed Issuer via an electronic medium such as an e-mail attachment. The Listed Issuer will attach both forms to the prescribed SGXNet announcement template for dissemination as required under section 137G(1), 137R(1) or 137ZC(1) of the SFA, as the case may be. While Form C will be attached to the announcement template, it will not be disseminated to the public and is made available only to the Monetary Authority of Singapore (the "Authority").
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- Where a transaction results in similar notifiable obligations on the part of more than one Substantial Shareholder/Unitholder, all of these Substantial Shareholders/Unitholders may give notice using the same notification form.
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- A single form may be used by a Substantial Shareholder/Unitholder for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of becoming aware of the earliest transaction). There must be no netting-off of two or more notifiable transactions even if they occur within the same day.
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- All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking the paper clip icon on the bottom left-hand corner or in item 11 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.
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- Except for item 5 of Part II and item 1 of Part IV, please select only one option from the relevant check boxes.
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- Please note that submission of any false or misleading information is an offence under Part VII of the SFA.
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- In this form, the term "Listed Issuer" refers to -
- (a) a company incorporated in Singapore any or all of the shares in which are listed for quotation on the official list of a securities exchange;
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(b) a corporation (not being a company incorporated in Singapore, or a collective investment scheme constituted as a corporation) any or all of the shares in which are listed for quotation on the official list of a securities exchange,such listing being a primary listing;
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(c) a registered business trust (as defined in the Business Trusts Act (Cap. 31A)) any or all of the units in which are listed for quotation on the official list of a securities exchange;
- (d) a recognised business trust any or all of the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing; or
- (e) a collective investment scheme that is a trust, that invests primarily in real estate and real estaterelated assets specified by the Authority in the Code on Collective Investment Schemes, and any or all the units in which are listed for quotation on the official list of a securities exchange, such listing being a primary listing ("Real Estate Investment Trust").
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- For further instructions and guidance on how to complete this notification form, please refer to section 7 of the User Guide on Electronic Notification Forms which can be accessed at the Authority's Internet website at http://www.mas.gov.sg (under "Regulations and Financial Stability", "Regulations, Guidance and Licensing", "Securities, Futures and Fund Management", "Forms", "Disclosure of Interests").
Part I - General
- Name of Listed Issuer:
United Envirotech Ltd.
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- Type of Listed Issuer:
- ✔ Company/Corporation
- Registered/Recognised Business Trust
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Real Estate Investment Trust
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Is more than one Substantial Shareholder/Unitholder giving notice in this form?
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No (Please proceed to complete Part II)
- ✔ Yes (Please proceed to complete Parts III & IV)
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- Date of notification to Listed Issuer:
24-Apr-2015
| Part III - Substantial Shareholder(s)/Unitholder(s) Details | |
|---|---|
| ------------------------------------------------------------- | -- |
[To be used for multiple Substantial Shareholders/Unitholders to give notice]
A Substantial Shareholder/Unitholder
- Name of Substantial Shareholder/Unitholder:
KKR China Water Investment Holdings Limited
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- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
- Yes
- ✔ No
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- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The change in the shareholding and shareholding percentage level of KKR China Water Investment Holdings Limited ("KKRCW") arise from the following:
(i) the placement of 30,303,031 issued and fully paid-up ordinary shares ("UEL Shares") in the capital of United Envirotech Ltd. ("UEL") by UEL to a subsidiary of CKM (Cayman) Company Limited (the "Offeror"), CENVIT (Cayman) Company Limited, at a subscription price of S\$1.65 per UEL Share on 23 April 2015, pursuant to the placing agreement dated 11 November 2014 entered into between UEL and the Offeror (the "Placement"); and
(ii) the conversion of the aggregate outstanding principal amount of US\$44.0 million convertible bonds due 2016 held by a subsidiary of the Offeror, KKR China Water Investment Limited ("KKRCW BidCo Sub"), into an aggregate number of 117,926,189 UEL Shares at a conversion price of S\$0.45 per UEL Share on 23 April 2015, pursuant to the conversion notice issued by KKRCW BidCo Sub to UEL on 22 April 2015 (the "Convertible Bonds Conversion").
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
- (b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
-
Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Substantial Shareholder/Unitholder B
| 1. | Name of Substantial Shareholder/Unitholder: |
|---|---|
| KKR China Water Holdings II Limited | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? Yes ✔ No |
| 3. | Notification in respect of: Becoming a Substantial Shareholder/Unitholder |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder | |
| 4. | Date of acquisition of or change in interest: |
| 23-Apr-2015 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
| 23-Apr-2015 | |
| 6. | Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
| The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror. |
|
|---|---|
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises. |
|
| 9. | Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] |
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form. |
|
| 10. | Attachments (if any): |
| (The total file size for all attachment(s) should not exceed 1MB.) | |
| 11. | If this is a replacement of an earlier notification, please provide: |
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) Date of the Initial Announcement: |
|
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
|
| C Substantial Shareholder/Unitholder |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| KKR China Water Holdings IA Limited | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? Yes |
| ✔ No | |
| 3. | Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder | |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder |
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
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- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
| 10. | Attachments (if any): | |
|---|---|---|
| (The total file size for all attachment(s) should not exceed 1MB.) | ||
| 11. | If this is a replacement of an earlier notification, please provide: | |
| (a) | SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) | Date of the Initial Announcement: | |
| (c) | 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): | |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
||
| D Substantial Shareholder/Unitholder |
||
| 1. | Name of Substantial Shareholder/Unitholder: | |
| KKR China Water Holdings IB Limited | ||
| 2. | Yes | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? |
| ✔ No | ||
| 3. | Notification in respect of: Becoming a Substantial Shareholder/Unitholder |
|
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | ||
| Ceasing to be a Substantial Shareholder/Unitholder | ||
| 4. | Date of acquisition of or change in interest: | |
| 23-Apr-2015 | ||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
|
| 23-Apr-2015 | ||
| 6. | Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
|
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
- (b) Date of the Initial Announcement:
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
12. Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
E Substantial Shareholder/Unitholder
- Name of Substantial Shareholder/Unitholder:
KKR China Water Holdings IC Limited
-
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
- Yes
✔ No
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
- Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5. 23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
|---|---|---|---|
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
-
SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
-
Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Substantial Shareholder/Unitholder F
| 1. | Name of Substantial Shareholder/Unitholder: |
|---|---|
| KKR China Water Holdings I Limited | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? Yes ✔ No |
| 3. | Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder | |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder | |
| 4. | Date of acquisition of or change in interest: |
| 23-Apr-2015 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
| 23-Apr-2015 | |
| 6. | Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
| The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW | |
|---|---|
| is deemed interested in through KKRCW's shareholding interest in the Offeror. | |
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises. |
|
| 9. | Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] |
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form. |
|
| 10. | Attachments (if any): |
| (The total file size for all attachment(s) should not exceed 1MB.) | |
| 11. | If this is a replacement of an earlier notification, please provide: |
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) Date of the Initial Announcement: |
|
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
|
| Substantial Shareholder/Unitholder G |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| KKR Asian Fund L.P. | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? Yes ✔ No |
| 3. | Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder | |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder |
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
| (The total file size for all attachment(s) should not exceed 1MB.) |
|---|
| If this is a replacement of an earlier notification, please provide: |
| SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
| Date of the Initial Announcement: |
| 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
| Remarks (if any): |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
| H Substantial Shareholder/Unitholder |
| Name of Substantial Shareholder/Unitholder: |
| KKR Associates Asia L.P. |
| Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? |
| Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder |
| Ceasing to be a Substantial Shareholder/Unitholder |
| Date of acquisition of or change in interest: |
| Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
| Explanation (if the date of becoming aware is different from the date of acquisition of, or the |
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
-
SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
12. Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
I Substantial Shareholder/Unitholder
- Name of Substantial Shareholder/Unitholder:
KKR SP Limited
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
| ✔ Yes | |
|---|---|
| ------- | -- |
No
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
- Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5. 23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
|---|---|---|---|
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
-
SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
-
Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Substantial Shareholder/Unitholder J
| 1. | Name of Substantial Shareholder/Unitholder: |
|---|---|
| KKR Asia Limited | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
| 3. | Notification in respect of: Becoming a Substantial Shareholder/Unitholder |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder | |
| 4. | Date of acquisition of or change in interest: 23-Apr-2015 |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
| 23-Apr-2015 |
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
| The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror. |
||
|---|---|---|
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises. |
||
| 9. | Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] |
|
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form. |
||
| 10. | Attachments (if any): | |
| (The total file size for all attachment(s) should not exceed 1MB.) | ||
| 11. | If this is a replacement of an earlier notification, please provide: | |
| (a) | SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) | Date of the Initial Announcement: | |
| (c) | 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): | |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
||
| K Substantial Shareholder/Unitholder |
||
| 1. | Name of Substantial Shareholder/Unitholder: | |
| KKR Fund Holdings L.P. | ||
| 2. | ✔ Yes | securities of the Listed Issuer are held solely through fund manager(s)? |
| No | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the | |
| 3. | Notification in respect of: | |
| Becoming a Substantial Shareholder/Unitholder ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder |
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
| 10. | Attachments (if any): |
|---|---|
| (The total file size for all attachment(s) should not exceed 1MB.) | |
| 11. | If this is a replacement of an earlier notification, please provide: |
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) Date of the Initial Announcement: |
|
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
|
| L Substantial Shareholder/Unitholder |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| KKR Fund Holdings GP Limited | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
| 3. | Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder | |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder | |
| 4. | Date of acquisition of or change in interest: |
| 23-Apr-2015 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
| 23-Apr-2015 | |
| 6. | Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
12. Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
M Substantial Shareholder/Unitholder
- Name of Substantial Shareholder/Unitholder:
KKR Group Holdings L.P.
-
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
- ✔ Yes
No
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
- Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5. 23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
|---|---|---|---|
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
-
SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
-
Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Substantial Shareholder/Unitholder N
| 1. | Name of Substantial Shareholder/Unitholder: |
|---|---|
| KKR Group Limited | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
| 3. | Notification in respect of: Becoming a Substantial Shareholder/Unitholder ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder Ceasing to be a Substantial Shareholder/Unitholder |
| 4. | Date of acquisition of or change in interest: 23-Apr-2015 |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 23-Apr-2015 |
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
| The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror. |
|
|---|---|
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises. |
|
| 9. | Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] |
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form. |
|
| 10. | Attachments (if any): |
| (The total file size for all attachment(s) should not exceed 1MB.) | |
| 11. | If this is a replacement of an earlier notification, please provide: |
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) Date of the Initial Announcement: |
|
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 |
|
| which was attached in the Initial Announcement: | |
| 12. | Remarks (if any): |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
|
| O Substantial Shareholder/Unitholder |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| KKR & Co. L.P. | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes |
| No | |
| 3. | Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder |
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
| 11. | (a) | (The total file size for all attachment(s) should not exceed 1MB.) If this is a replacement of an earlier notification, please provide: SGXNet announcement reference of the first notification which was announced |
|---|---|---|
| on SGXNet (the "Initial Announcement"): | ||
| (b) | Date of the Initial Announcement: | |
| (c) | 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): | |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
||
| P Substantial Shareholder/Unitholder |
||
| 1. | Name of Substantial Shareholder/Unitholder: | |
| KKR Management LLC | ||
| 2. | ✔ Yes No |
Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? |
| 3. | Notification in respect of: | |
| Becoming a Substantial Shareholder/Unitholder | ||
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | ||
| Ceasing to be a Substantial Shareholder/Unitholder | ||
| 4. | Date of acquisition of or change in interest: | |
| 23-Apr-2015 | ||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
|
| 23-Apr-2015 | ||
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
- (b) Date of the Initial Announcement:
- (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
12. Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Q Substantial Shareholder/Unitholder
- Name of Substantial Shareholder/Unitholder:
KKR Intermediate Partnership L.P.
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
| ✔ Yes |
|---|
No
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
|---|---|---|---|
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
-
SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
-
Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Substantial Shareholder/Unitholder R
| 1. | Name of Substantial Shareholder/Unitholder: | |||||||
|---|---|---|---|---|---|---|---|---|
| KKR Intermediate Partnership GP Limited | ||||||||
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
|||||||
| 3. | Notification in respect of: Becoming a Substantial Shareholder/Unitholder ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder |
|||||||
| Ceasing to be a Substantial Shareholder/Unitholder | ||||||||
| 4. | Date of acquisition of or change in interest: 23-Apr-2015 |
|||||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 23-Apr-2015 |
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
| The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror. |
|
|---|---|
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises. |
|
| 9. | Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] |
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form. |
|
| 10. | Attachments (if any): |
| (The total file size for all attachment(s) should not exceed 1MB.) | |
| 11. | If this is a replacement of an earlier notification, please provide: |
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) Date of the Initial Announcement: |
|
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
|
| S Substantial Shareholder/Unitholder |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| KKR & Co. L.L.C. | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes |
| No | |
| 3. | Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder | |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder |
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
| 10. | Attachments (if any): |
|---|---|
| (The total file size for all attachment(s) should not exceed 1MB.) | |
| 11. | If this is a replacement of an earlier notification, please provide: |
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
|
| (b) Date of the Initial Announcement: |
|
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
|
| T Substantial Shareholder/Unitholder |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| KKR Holdings L.P. | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
| 3. | Notification in respect of: |
| Becoming a Substantial Shareholder/Unitholder | |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder | |
| 4. | Date of acquisition of or change in interest: |
| 23-Apr-2015 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
| 23-Apr-2015 | |
| 6. | Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
- (b) Date of the Initial Announcement:
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
12. Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
U Substantial Shareholder/Unitholder
- Name of Substantial Shareholder/Unitholder:
KKR Holdings GP Limited
- Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)?
| ✔ Yes | |
|---|---|
| ------- | -- |
No
-
- Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
-
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
|---|---|---|---|
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
-
SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
-
Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Substantial Shareholder/Unitholder V
| 1. | Name of Substantial Shareholder/Unitholder: |
|---|---|
| Henry R. Kravis | |
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
| 3. | Notification in respect of: Becoming a Substantial Shareholder/Unitholder |
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | |
| Ceasing to be a Substantial Shareholder/Unitholder | |
| 4. | Date of acquisition of or change in interest: |
| 23-Apr-2015 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
| 23-Apr-2015 |
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
| As a percentage of total no. of voting shares/ units: |
0 | 87.67 | 87.67 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
| The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror. |
||
|---|---|---|
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises. |
||
| 9. | Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] |
|
| Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form. |
||
| 10. | Attachments (if any): | |
| (The total file size for all attachment(s) should not exceed 1MB.) | ||
| 11. | If this is a replacement of an earlier notification, please provide: | |
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
||
| (b) Date of the Initial Announcement: |
||
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
||
| 12. | Remarks (if any): | |
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and | ||
| the Convertible Bonds Conversion on 23 April 2015. | ||
| W Substantial Shareholder/Unitholder |
||
| 1. | Name of Substantial Shareholder/Unitholder: | |
| George R. Roberts | ||
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
|
| 3. | Notification in respect of: | |
| Becoming a Substantial Shareholder/Unitholder | ||
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | ||
- Date of acquisition of or change in interest:
23-Apr-2015
Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): 5.
23-Apr-2015
-
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 |
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): 8.
[You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises]
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
| 10. | Attachments (if any): | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (The total file size for all attachment(s) should not exceed 1MB.) | ||||||||||||
| 11. | If this is a replacement of an earlier notification, please provide: | |||||||||||
| (a) SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): |
||||||||||||
| (b) Date of the Initial Announcement: |
||||||||||||
| (c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement: |
||||||||||||
| 12. | Remarks (if any): | |||||||||||
| For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015. |
||||||||||||
| X Substantial Shareholder/Unitholder |
||||||||||||
| 1. | Name of Substantial Shareholder/Unitholder: | |||||||||||
| KKR Subsidiary Partnership L.P. | ||||||||||||
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the securities of the Listed Issuer are held solely through fund manager(s)? ✔ Yes No |
|||||||||||
| 3. | Notification in respect of: | |||||||||||
| Becoming a Substantial Shareholder/Unitholder | ||||||||||||
| ✔ Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder | ||||||||||||
| Ceasing to be a Substantial Shareholder/Unitholder | ||||||||||||
| 4. | Date of acquisition of or change in interest: | |||||||||||
| 23-Apr-2015 | ||||||||||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest (if different from item 4 above, please specify the date): |
|||||||||||
| 23-Apr-2015 | ||||||||||||
| 6. | Explanation (if the date of becoming aware is different from the date of acquisition of, or the change in, interest): |
|||||||||||
Quantum of total voting shares/units (including voting shares/units underlying rights/options/ warrants/convertible debentures {conversion price known}) held by Substantial Shareholder/ Unitholder before and after the transaction: 7.
| Immediately before the transaction | Direct Interest | Deemed Interest | Total | ||
|---|---|---|---|---|---|
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
0 | 839,541,349 | 839,541,349 | ||
| As a percentage of total no. of voting shares/ units: |
0 | 85.8 | 85.8 | ||
| Immediately after the transaction | Direct Interest | ||||
| Deemed Interest | Total | ||||
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
0 | 987,770,569 | 987,770,569 |
Circumstances giving rise to deemed interests (if the interest is such): [You may attach a chart in item 10 to illustrate how the Substantial Shareholder/Unitholder's deemed interest arises] 8.
The substantial shareholder is deemed interested in the UEL Shares held indirectly by the Offeror that KKRCW is deemed interested in through KKRCW's shareholding interest in the Offeror.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above for the manner in which the deemed interest arises.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders] 9.
Please refer to the attached chart in item 10 of "Substantial Shareholder / Unitholder A" above, which sets out the relationship between the substantial shareholders giving notice in this form.
- Attachments (if any):
(The total file size for all attachment(s) should not exceed 1MB.)
-
- If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"): (a)
-
(b) Date of the Initial Announcement:
-
(c) 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
12. Remarks (if any):
For the purposes of this notice, the total number of UEL Shares is 1,126,715,088 following the Placement and the Convertible Bonds Conversion on 23 April 2015.
Part IV - Transaction details
| Type of securities which are the subject of the transaction (more than one option may be chosen): |
|---|
| ✔ Voting shares/units |
| Rights/Options/Warrants over voting shares/units |
| Convertible debentures over voting shares/units (conversion price known) |
| Others (please specify): |
| Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholders/Unitholders: |
| Not applicable |
| Amount of consideration paid or received by Substantial Shareholders/Unitholders (excluding brokerage and stamp duties): |
| Not applicable |
| Circumstance giving rise to the interest or change in interest: |
| Acquisition of: |
| Securities via market transaction |
| Securities via off-market transaction (e.g. married deals) |
| Securities via physical settlement of derivatives or other securities |
| Securities pursuant to rights issue |
| Securities via a placement |
| Securities following conversion/exercise of rights, options, warrants or other convertibles |
| Disposal of: |
| Securities via market transaction |
| Securities via off-market transaction (e.g. married deals) |
| Other circumstances: |
| Acceptance of take-over offer for the Listed Issuer |
| Corporate action by the Listed Issuer which Substantial Shareholders/Unitholders did not participate in (please specify): |
| ✔ Others (please specify): |
| KKRCW is deemed interested in the UEL Shares held by indirectly by the Offeror through KKRCW's shareholding interest in the Offeror. |
Item 5 is to be completed by an individual submitting this notification form on behalf of the Substantial Shareholders/Unitholders.
- Particulars of Individual submitting this notification form to the Listed Issuer:
(a) Name of Individual:
Chan Kar Fai, Ivan
(b) Designation (if applicable):
Associate
(c) Name of entity (if applicable):
Allen & Gledhill LLP
Transaction Reference Number (auto-generated):
| 8 | 6 | 6 | 4 | 3 | 7 | 2 | 4 | 0 | 8 | 4 | 8 | 7 | 7 | 3 | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | -- |