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CITIC Limited Capital/Financing Update 2016

Feb 1, 2016

49082_rns_2016-02-01_8e592701-e650-4347-b22c-11f91f25597d.pdf

Capital/Financing Update

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For Main Board and GEM listed issuers

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Monthly Return of Equity Issuer on Movements in Securities

For the month ended (dd/mm/yyyy) : 31[st] January, 2016

To : Hong Kong Exchanges and Clearing Limited

Name of Issuer CITIC Limited Date Submitted 1[st] February, 2016

I. Movements in Authorised Share Capital

1. Ordinary Shares

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(1) Stock code : 267 Description : Ordinary Shares
Authorised share
No. of Ordinary Par value capital
Shares (HKD) (HKD)
Balance at close of preceding month N/A N/A N/A
Increase/(decrease) - -
Balance at close of the month N/A N/A N/A
(Remark)
(2) Stock code : N/A Description :
Par value Authorised share
No. of ordinary (State capital
shares currency) (State currency)
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month
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For Main Board and GEM listed issuers

2. ~~Preference~~ Preferred Shares

2. ~~Preference~~
PreferredShares		 2. ~~Preference~~
PreferredShares		 2. ~~Preference~~
PreferredShares		 2. ~~Preference~~
PreferredShares		 2. ~~Preference~~
PreferredShares		 2. ~~Preference~~
PreferredShares
Stock code :
N/A
Description :
No. of~~preference~~
Preferred Shares
Par value
(State currency)
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month		 Authorised share
capital
(State currency)
3. OtherClasses ofShares
Stock code :
N/A
Description :
No. of other
classes of shares
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month		 Authorised share
capital
(State currency)
Par value
(State
currency)

Total authorised share capital at the end of the month (HKD) : N/A (Remark)

For Main Board and GEM listed issuers

II. Movements in Issued Shares ~~Share Capital~~

Balance at close of
preceding month
Increase/ (decrease)
during the month
Balance at close of the
month		 No. of Ordinary Shares
(1)
(2)		 No. of Ordinary Shares
(1)
(2)		 No of~~preference~~
Preferred Shares
No. of other classes
of shares		 No of~~preference~~
Preferred Shares
No. of other classes
of shares
29,090,262,630
-
29,090,262,630		 -
-
-		 -
-
-		 -
-
-

III. Details of Movements in Issued Shares ~~Share Capital~~

Share Options (under Share Option Schemes of the Issuer)

Particulars of share
option scheme
including EGM
approval date
(dd/mm/yyyy) and
class of shares
issuable		 Particulars of share
option scheme
including EGM
approval date
(dd/mm/yyyy) and
class of shares
issuable
Movement duringthe month Movement duringthe month Movement duringthe month Movement duringthe month No. of new shares of
issuer issued during
the month pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant thereto
as at close of the month		 No. of new shares of
issuer issued during
the month pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant thereto
as at close of the month
Granted Exercised Cancelled Lapsed
1. CITIC Pacific

Share Incentive

Plan 2011

adopted at AGM

on 12/05/2011
OrdinaryShares
-
-
-
-
(Note 1)

2.



(/ /)
shares
(Note 1)
3.
(/ /)
shares
(Note 1)
Total A. (Ordinary Shares)
(~~Preference~~
Preferred
Shares)
(Other class)
Total funds raised during the month from exercise of
options (HKD)
-		 1. CITIC Pacific -

-
-

-		 -
Share Incentive
Plan 2011
adopted at AGM
on 12/05/2011
OrdinaryShares
(Note 1)

2.
(/ /)
shares
(Note 1)
3.
(/ /)
shares

For Main Board and GEM listed issuers

Warrants to Issue Shares of the Issuer which are to be Listed

Description of warrants
(Date of expiry- dd/mm/yyyy)		 Description of warrants
(Date of expiry- dd/mm/yyyy)		 Description of warrants
(Date of expiry- dd/mm/yyyy)		 Currency of
nominal
value
Nominal value at
close of
precedingmonth
Exercised
during the
month		 Currency of
nominal
value
Nominal value at
close of
precedingmonth
Exercised
during the
month		 Nominal value
at close of the
month		 Nominal value
at close of the
month
No. of new
shares of
issuer issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be issued
pursuant
thereto as at
close of the
month
No. of new
shares of
issuer issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be issued
pursuant
thereto as at
close of the
month



1. N/A












( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
2.

(/ / )
( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
3.

(/ / )
( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
4.

(/ / )
( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
(/ / )

For Main Board and GEM listed issuers

Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)

Class and description Class and description Currency of
amount
outstanding		 Amount at
close of
preceding
month
Converted during
the month		 Amount at
close of
preceding
month
Converted during
the month		 Amount at
close of
preceding
month
Converted during
the month		 Amount at
close of
preceding
month
Converted during
the month		 Amount at
close of the
month		 Amount at
close of the
month		 No. of new
shares of
issuer issued
during the
month
pursuant
thereto
No. of new
shares of issuer
which may be
issued pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer issued
during the
month
pursuant
thereto
No. of new
shares of issuer
which may be
issued pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer issued
during the
month
pursuant
thereto
No. of new
shares of issuer
which may be
issued pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer issued
during the
month
pursuant
thereto
No. of new
shares of issuer
which may be
issued pursuant
thereto as at
close of the
month





1. N/A


Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
2.


(/ /)
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
3.


(/ /)
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
4.


(/ /)
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
(/ /)

For Main Board and GEM listed issuers

Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)


thanunderShare OptionSchemes)
thanunderShare OptionSchemes)
Full particulars including EGM approval date (dd/mm/yyyy),
if applicable, and class of shares issuable:		 No. of new shares of
issuer issued during
the month pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant thereto
as at close of the month
1.
2.
3.		 N/A
( / / )
shares_(Note 1)_
( / / )
shares_(Note 1)_
( / / )
shares_(Note 1)_
Total D. (Ordinary shares)
(Preference shares)
(Other class)

For Main Board and GEM listed issuers Other Movements in Issued Shares ~~Share Capital~~ : N/A

Type of Issue No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month
1. Rights issue
At price :State
currency		 Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )
2. Open offer
At price :State
currency		 Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )
3. Placing
At price :State
currency		 Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )
4. Bonus issue Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )
For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers
Type of Issue No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month
5. Scrip dividend
At price :State
currency		 Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )
6. Repurchase of
shares		 Class of shares
repurchased_(Note 1)
Cancellation date :
(dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
7. Redemption of
shares		 Class of shares
redeemed_(Note 1)
Redemption date :
(dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
8. Consideration
issue
At price :State
currency		 Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )
For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers For Main Board and GEM listed issuers
Type of Issue No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month
9. Capital
reorganisation		 Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )
10. Other
(Please specify)At price : State
currency		 Class of shares issuable
(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
__
( / / )
( / / )

Total E. (Ordinary Shares)
(~~Preference~~
Preferred Shares)
(Other class)
Total increase / (decrease) in
Total increase / (decrease) in
Total increase / (decrease) in
(Thesefigures should be the		 Ordinary Shares during the month (i.e. Total of A to E):
(1)
(2)
~~preference~~
Preferred Shares during the month (i.e. Total of A to E):
other classes of shares during the month (i.e. Total of A to E):
same as the relevantfigures under II above(“Movements in Issued Shares		 -
-
-
-
~~Share Capital~~
~~”~~).)

For Main Board and GEM listed issuers

Remarks (if any):

CITIC Limited does not have an authorised share capital and/or nominal value of shares in its share capital.

Submitted by: Ricky Choy Wing Kay Title: Joint Company Secretary (Director, Secretary or other duly authorised officer)

Notes :

1. State the class of shares (e.g. ordinary, preference or other). 2. If there is insufficient space, please append the prescribed continuation sheet.

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