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CITIC Limited Director's Dealing 2020

Jan 7, 2020

49082_rns_2020-01-07_abc6bac3-ce45-4069-8219-8311e7b9c1af.pdf

Director's Dealing

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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.

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OVERSEAS REGULATORY ANNOUNCEMENTS

(These overseas regulatory announcements are issued pursuant to Rule 13.10B of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited)

The following documents are released by CITIC Envirotech Ltd. (a subsidiary of CITIC Limited) to Singapore Exchange Limited on 7 January 2020:-

1. Notification form for Director/Chief Executive Officer in respect of interests in securities: Mr Lee Suan Hiang;

2. Notification form for Director/Chief Executive Officer in respect of interests in securities: Mr David Yeung;

3. Notification form for Director/Chief Executive Officer in respect of interests in securities: Mr Tay Beng Chuan; and

4. Notification form for Director/Chief Executive Officer in respect of interests in securities: Dr Chong Weng Chiew

Hong Kong, 7 January 2020

As at the date of this announcement, the executive directors of CITIC Limited are Mr Chang Zhenming (Chairman), Mr Wang Jiong and Ms Li Qingping; the non-executive directors of CITIC Limited are Mr Song Kangle, Ms Yan Shuqin, Mr Liu Zhuyu, Mr Peng Yanxiang, Mr Liu Zhongyuan and Mr Yang Xiaoping; and the independent non-executive directors of CITIC Limited are Mr Francis Siu Wai Keung, Dr Xu Jinwu, Mr Anthony Francis Neoh, Mr Shohei Harada and Mr Gregory Lynn Curl.

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SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012

FORM

NOTIFICATION FORM FOR DIRECTOR/CHIEF EXECUTIVE OFFICER IN RESPECT OF INTERESTS IN SECURITIES

1

(Electronic Format)

Explanatory Notes

  1. Please read the explanatory notes carefully before completing this notification form.

  2. This form is for a Director/Chief Executive Officer (“CEO”) to give notice of his interests in the securities of the Listed Issuer under section 133, 137N or 137Y of the Securities and Futures Act (Cap. 289) (the “SFA”). Please note that the requirement to disclose interests in participatory interests applies only to a director and where the Listed Issuer is a Singapore-incorporated company.

  3. This electronic Form 1 and a separate Form C, containing the particulars and contact details of the Director/CEO, must be completed by the Director/CEO or a person duly authorised by him to do so. The person so authorised should maintain records of information furnished to him by the Director/CEO.

  4. 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").

  5. A single form may be used by a Director/CEO for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of/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.

  6. All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking on the paper clip icon on the bottom left-hand corner or in item 3 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.

  7. Except for item 4 of Part III, please select only one option from the relevant check boxes.

  8. Please note that submission of any false or misleading information is an offence under Part VII of the SFA.

  10. In this form, the term “Listed Issuer” refers to –

  11. (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;

  12. (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;

  13. (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;

  14. (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

  15. (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”).

  16. For further instructions and guidance on how to complete this notification form, please refer to section 6 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").

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Part I - General

  1. Name of Listed Issuer:

CITIC ENVIROTECH LTD

2. Type of Listed Issuer:

Company/Corporation

Registered/Recognised Business Trust

Real Estate Investment Trust

3. Name of Director/CEO:

LEE SUAN HIANG

4. Is the Director/CEO also a substantial shareholder/unitholder of the Listed Issuer?

Yes

No

  1. Is the Director/CEO notifying in respect of his interests in securities of, or made available by, the Listed Issuer at the time of his appointment?

  2. Yes (Please proceed to complete Part II)

  3. No (Please proceed to complete Part III)

  4. Date of notification to Listed Issuer:

07-Jan-2020

Save as FINAL

Save as DRAFT

Page 2 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

Part III - For an incumbent Director/CEO giving notice of an acquisition of, or a change in his interest in, securities of or made available by the Listed Issuer

Transaction A

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  1. Date of acquisition of or change in interest:

  2. 07-Jan-2020

  3. Date on which Director/CEO became aware of the acquisition of, or change in, interest ( if different from item 1 above, please specify the date ):

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  • 07-Jan-2020

  • Explanation ( if the date of becoming aware is different from the date of acquisition of, or change in, interest ):

  • Type of securities which are the subject of the transaction (more than one option may be chosen):

Ordinary voting shares/units of Listed Issuer

Other types of shares/units ( excluding ordinary voting shares/units ) of Listed Issuer

Rights/Options/Warrants over shares/units of Listed Issuer

Debentures of Listed Issuer

Rights/Options over debentures of Listed Issuer

Contracts over shares of the Listed Issuer which Director/CEO is a party to, or under which he is entitled to a benefit, being contracts under which any person has a right to call for or to make delivery of shares in the Listed Issuer

Participatory interests made available by Listed Issuer

Others ( please specify ):

  1. Number of shares, units, rights, options, warrants, participatory interests and/or principal amount/value of debentures or contracts acquired or disposed of by Director/CEO:

  2. 721,000

  3. Amount of consideration paid or received by Director/CEO ( excluding brokerage and stamp duties ):

$396,550

Save as FINAL

Save as DRAFT

Page 3 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

7. 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 employee share options/share awards

Vesting of share awards

Exercise of employee share options Acceptance of take-over offer for Listed Issuer Corporate action by Listed Issuer ( please specify ):

Others ( please specify ):

  1. Quantum of interests in securities held by Director/CEO before and after the transaction.

Please complete relevant table(s) below ( for example, Table 1 should be completed if the change relates to ordinary voting shares of the Listed Issuer; Table 4 should be completed if the change relates to debentures ):

Table 1. Change in respect of ordinary voting shares/units of Listed Issuer

Immediately before the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 721,000 800,000 1,521,000
As a percentage of total no. of ordinary
voting shares/units:		 0.03 0.03 0.06
Immediately after the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 0 0 0

Save as FINAL

Save as DRAFT

Page 4 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

0

0

0

As a percentage of total no. of ordinary voting shares/units:

  1. Circumstances giving rise to deemed interests ( if the interest is such ):

  2. [You may attach a chart(s) in item 10 to illustrate how the Director/CEO's deemed interest, as set out in item 8 tables 1 to 8, arises]

Mr. Lee Suan Hiang is directly interested in 721,000 ordinary shares ("Shares") in the capital of CITIC Envirotech Ltd. ("Company") and is further deemed interested in 800,000 Shares held by Elizabeth Wong Cheng Yeen, spouse of Mr. Lee Suan Hiang.

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10. Attachments ( if any ):

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(The total file size for all attachment(s) should not exceed 1MB.)

  1. If this is a replacement of an earlier notification, please provide:

  2. (a) SGXNet announcement reference of the first notification which was announced on SGXNet ( the "Initial Announcement" ):

  3. (b) Date of the Initial Announcement:

  4. (c) 15-digit transaction reference number of the relevant transaction in the Form 1 which was attached in the Initial Announcement:

12. Remarks ( if any ):

Both Mr. Lee Suan Hiang and Elizabeth Wong Cheng Yeen have, on 7 January 2019, accepted the exit offer from CLSA Singapore Pte Ltd (for and on behalf of CKM (Cayman) Company Limited) to acquire all the ordinary shares in the CITIC Envirotech Ltd in respect of all their shares.

Transaction Reference Number ( auto-generated ):

229995843342068

Additional transaction (Transaction "B", "C", etc) by the same Director/CEO where the information in Part I is the same for the additional transaction

Add New Part III Transaction

Item 13 is to be completed by an individual submitting this notification form on behalf of the Director/CEO.

  1. Particulars of Individual submitting this notification form to the Listed Issuer:

  2. (a) Name of Individual:

  3. (b) Designation ( if applicable ):

Save as FINAL

Save as DRAFT

Page 5 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

(c) Name of entity ( if applicable ):

Save as FINAL

Save as DRAFT

Page 6 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

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SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012

FORM

NOTIFICATION FORM FOR DIRECTOR/CHIEF EXECUTIVE OFFICER IN RESPECT OF INTERESTS IN SECURITIES

1

(Electronic Format)

Explanatory Notes

  1. Please read the explanatory notes carefully before completing this notification form.

  2. This form is for a Director/Chief Executive Officer (“CEO”) to give notice of his interests in the securities of the Listed Issuer under section 133, 137N or 137Y of the Securities and Futures Act (Cap. 289) (the “SFA”). Please note that the requirement to disclose interests in participatory interests applies only to a director and where the Listed Issuer is a Singapore-incorporated company.

  3. This electronic Form 1 and a separate Form C, containing the particulars and contact details of the Director/CEO, must be completed by the Director/CEO or a person duly authorised by him to do so. The person so authorised should maintain records of information furnished to him by the Director/CEO.

  4. 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").

  5. A single form may be used by a Director/CEO for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of/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.

  6. All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking on the paper clip icon on the bottom left-hand corner or in item 3 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.

  7. Except for item 4 of Part III, please select only one option from the relevant check boxes.

  8. Please note that submission of any false or misleading information is an offence under Part VII of the SFA.

  10. In this form, the term “Listed Issuer” refers to –

  11. (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;

  12. (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;

  13. (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;

  14. (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

  15. (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”).

  16. For further instructions and guidance on how to complete this notification form, please refer to section 6 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").

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Part I - General

  1. Name of Listed Issuer:

CITIC ENVIROTECH LTD

  1. Type of Listed Issuer:

Company/Corporation

Registered/Recognised Business Trust

Real Estate Investment Trust

3. Name of Director/CEO:

YEUNG KOON SANG ALIAS DAVID YEUNG

  1. Is the Director/CEO also a substantial shareholder/unitholder of the Listed Issuer?

  2. Yes

No

  1. Is the Director/CEO notifying in respect of his interests in securities of, or made available by, the Listed Issuer at the time of his appointment?

  2. Yes (Please proceed to complete Part II)

  3. No (Please proceed to complete Part III)

  4. Date of notification to Listed Issuer:

07-Jan-2020

Page 2 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

Part III - For an incumbent Director/CEO giving notice of an acquisition of, or a change in his interest in, securities of or made available by the Listed Issuer

Transaction A

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  1. Date of acquisition of or change in interest:

  2. 07-Jan-2020

  3. Date on which Director/CEO became aware of the acquisition of, or change in, interest ( if different from item 1 above, please specify the date ):

==> picture [16 x 16] intentionally omitted <==

  • 07-Jan-2020

  • Explanation ( if the date of becoming aware is different from the date of acquisition of, or change in, interest ):

  • Type of securities which are the subject of the transaction (more than one option may be chosen):

Ordinary voting shares/units of Listed Issuer

Other types of shares/units ( excluding ordinary voting shares/units ) of Listed Issuer

  • Rights/Options/Warrants over shares/units of Listed Issuer

Debentures of Listed Issuer

Rights/Options over debentures of Listed Issuer

Contracts over shares of the Listed Issuer which Director/CEO is a party to, or under which he is entitled to a benefit, being contracts under which any person has a right to call for or to make delivery of shares in the Listed Issuer

Participatory interests made available by Listed Issuer

Others ( please specify ):

  1. Number of shares, units, rights, options, warrants, participatory interests and/or principal amount/value of debentures or contracts acquired or disposed of by Director/CEO:

  2. 1,200,000

  3. Amount of consideration paid or received by Director/CEO ( excluding brokerage and stamp duties ):

  4. $660,000

Page 3 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

7. 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 employee share options/share awards

Vesting of share awards

Exercise of employee share options

Acceptance of take-over offer for Listed Issuer

Corporate action by Listed Issuer ( please specify ):

Others ( please specify ):

  1. Quantum of interests in securities held by Director/CEO before and after the transaction.

Please complete relevant table(s) below ( for example, Table 1 should be completed if the change relates to ordinary voting shares of the Listed Issuer; Table 4 should be completed if the change relates to debentures ):

Table 1. Change in respect of ordinary voting shares/units of Listed Issuer

Immediately before the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 1,200,000 0 1,200,000
As a percentage of total no. of ordinary
voting shares/units:		 0.05 0 0.05
Immediately after the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 0 0 0

Page 4 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

0

0

0

As a percentage of total no. of ordinary voting shares/units:

  1. Circumstances giving rise to deemed interests ( if the interest is such ):

  2. [You may attach a chart(s) in item 10 to illustrate how the Director/CEO's deemed interest, as set out in item 8 tables 1 to 8, arises]

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10. Attachments ( if any ):

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(The total file size for all attachment(s) should not exceed 1MB.)

  1. If this is a replacement of an earlier notification, please provide:

  2. (a) SGXNet announcement reference of the first notification which was announced on SGXNet ( the "Initial Announcement" ):

  3. (b) Date of the Initial Announcement:

  4. (c) 15-digit transaction reference number of the relevant transaction in the Form 1 which was attached in the Initial Announcement:

12. Remarks ( if any ):

Mr. Yeung Koon Sang (alias David Yeung) has, on 7 January 2019, accepted the exit offer from CLSA Singapore Pte Ltd (for and on behalf of CKM (Cayman) Company Limited) to acquire all the ordinary shares in the CITIC Envirotech Ltd in respect of all his shares.

Transaction Reference Number ( auto-generated ):

215595843343042

Item 13 is to be completed by an individual submitting this notification form on behalf of the Director/CEO.

  1. Particulars of Individual submitting this notification form to the Listed Issuer:

  2. (a) Name of Individual:

  3. (b) Designation ( if applicable ):

Page 5 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

  • (c) Name of entity ( if applicable ):

Page 6 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

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SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012

FORM

NOTIFICATION FORM FOR DIRECTOR/CHIEF EXECUTIVE OFFICER IN RESPECT OF INTERESTS IN SECURITIES

1

(Electronic Format)

Explanatory Notes

  1. Please read the explanatory notes carefully before completing this notification form.

  2. This form is for a Director/Chief Executive Officer (“CEO”) to give notice of his interests in the securities of the Listed Issuer under section 133, 137N or 137Y of the Securities and Futures Act (Cap. 289) (the “SFA”). Please note that the requirement to disclose interests in participatory interests applies only to a director and where the Listed Issuer is a Singapore-incorporated company.

  3. This electronic Form 1 and a separate Form C, containing the particulars and contact details of the Director/CEO, must be completed by the Director/CEO or a person duly authorised by him to do so. The person so authorised should maintain records of information furnished to him by the Director/CEO.

  4. 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").

  5. A single form may be used by a Director/CEO for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of/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.

  6. All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking on the paper clip icon on the bottom left-hand corner or in item 3 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.

  7. Except for item 4 of Part III, please select only one option from the relevant check boxes.

  8. Please note that submission of any false or misleading information is an offence under Part VII of the SFA.

  10. In this form, the term “Listed Issuer” refers to –

  11. (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;

  12. (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;

  13. (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;

  14. (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

  15. (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”).

  16. For further instructions and guidance on how to complete this notification form, please refer to section 6 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").

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Part I - General

  1. Name of Listed Issuer:

CITIC ENVIROTECH LTD

2. Type of Listed Issuer:

Company/Corporation

Registered/Recognised Business Trust

Real Estate Investment Trust

3. Name of Director/CEO:

TAY BENG CHUAN

  1. Is the Director/CEO also a substantial shareholder/unitholder of the Listed Issuer?

  2. Yes

No

  1. Is the Director/CEO notifying in respect of his interests in securities of, or made available by, the Listed Issuer at the time of his appointment?

  2. Yes (Please proceed to complete Part II)

  3. No (Please proceed to complete Part III)

  4. Date of notification to Listed Issuer:

07-Jan-2020

Page 2 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

Part III - For an incumbent Director/CEO giving notice of an acquisition of, or a change in his interest in, securities of or made available by the Listed Issuer

Transaction A

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  1. Date of acquisition of or change in interest:

  2. 07-Jan-2020

  3. Date on which Director/CEO became aware of the acquisition of, or change in, interest ( if different from item 1 above, please specify the date ):

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  • 07-Jan-2020

  • Explanation ( if the date of becoming aware is different from the date of acquisition of, or change in, interest ):

  • Type of securities which are the subject of the transaction (more than one option may be chosen):

Ordinary voting shares/units of Listed Issuer

Other types of shares/units ( excluding ordinary voting shares/units ) of Listed Issuer

  • Rights/Options/Warrants over shares/units of Listed Issuer

Debentures of Listed Issuer

Rights/Options over debentures of Listed Issuer

Contracts over shares of the Listed Issuer which Director/CEO is a party to, or under which he is entitled to a benefit, being contracts under which any person has a right to call for or to make delivery of shares in the Listed Issuer

Participatory interests made available by Listed Issuer

Others ( please specify ):

  1. Number of shares, units, rights, options, warrants, participatory interests and/or principal amount/value of debentures or contracts acquired or disposed of by Director/CEO:

  2. 2,250,000

  3. Amount of consideration paid or received by Director/CEO ( excluding brokerage and stamp duties ):

  4. $1,237,500

Page 3 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

7. 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 employee share options/share awards

Vesting of share awards

Exercise of employee share options

Acceptance of take-over offer for Listed Issuer

Corporate action by Listed Issuer ( please specify ):

Others ( please specify ):

  1. Quantum of interests in securities held by Director/CEO before and after the transaction.

Please complete relevant table(s) below ( for example, Table 1 should be completed if the change relates to ordinary voting shares of the Listed Issuer; Table 4 should be completed if the change relates to debentures ):

Table 1. Change in respect of ordinary voting shares/units of Listed Issuer

Immediately before the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 2,250,000 0 2,250,000
As a percentage of total no. of ordinary
voting shares/units:		 0.09 0 0.09
Immediately after the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 0 0 0

Page 4 of 6

FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

0

0

0

As a percentage of total no. of ordinary voting shares/units:

  1. Circumstances giving rise to deemed interests ( if the interest is such ): [You may attach a chart(s) in item 10 to illustrate how the Director/CEO's deemed interest, as set out in item 8 tables 1 to 8, arises]

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10. Attachments ( if any ):

==> picture [24 x 24] intentionally omitted <==

(The total file size for all attachment(s) should not exceed 1MB.)

  1. If this is a replacement of an earlier notification, please provide:

  2. (a) SGXNet announcement reference of the first notification which was announced on SGXNet ( the "Initial Announcement" ):

  3. (b) Date of the Initial Announcement:

  4. (c) 15-digit transaction reference number of the relevant transaction in the Form 1 which was attached in the Initial Announcement:

12. Remarks ( if any ):

Mr. Tan Beng Chuan has, on 7 January 2019, accepted the exit offer from CLSA Singapore Pte Ltd (for and on behalf of CKM (Cayman) Company Limited) to acquire all the ordinary shares in the CITIC Envirotech Ltd in respect of all his shares.

Transaction Reference Number ( auto-generated ):

320595843343235

Item 13 is to be completed by an individual submitting this notification form on behalf of the Director/CEO.

  1. Particulars of Individual submitting this notification form to the Listed Issuer:

  2. (a) Name of Individual:

  3. (b) Designation ( if applicable ):

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FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

  • (c) Name of entity ( if applicable ):

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FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

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SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012

FORM

NOTIFICATION FORM FOR DIRECTOR/CHIEF EXECUTIVE OFFICER IN RESPECT OF INTERESTS IN SECURITIES

1

(Electronic Format)

Explanatory Notes

  1. Please read the explanatory notes carefully before completing this notification form.

  2. This form is for a Director/Chief Executive Officer (“CEO”) to give notice of his interests in the securities of the Listed Issuer under section 133, 137N or 137Y of the Securities and Futures Act (Cap. 289) (the “SFA”). Please note that the requirement to disclose interests in participatory interests applies only to a director and where the Listed Issuer is a Singapore-incorporated company.

  3. This electronic Form 1 and a separate Form C, containing the particulars and contact details of the Director/CEO, must be completed by the Director/CEO or a person duly authorised by him to do so. The person so authorised should maintain records of information furnished to him by the Director/CEO.

  4. 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").

  5. A single form may be used by a Director/CEO for more than one transaction resulting in notifiable obligations which occur within the same notifiable period (i.e. within two business days of/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.

  6. All applicable parts of the notification form must be completed. If there is insufficient space for your answers, please include attachment(s) by clicking on the paper clip icon on the bottom left-hand corner or in item 3 of Part II or item 10 of Part III. The total file size for all attachment(s) should not exceed 1MB.

  7. Except for item 4 of Part III, please select only one option from the relevant check boxes.

  8. Please note that submission of any false or misleading information is an offence under Part VII of the SFA.

  10. In this form, the term “Listed Issuer” refers to –

  11. (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;

  12. (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;

  13. (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;

  14. (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

  15. (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”).

  16. For further instructions and guidance on how to complete this notification form, please refer to section 6 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").

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Part I - General

  1. Name of Listed Issuer:

CITIC ENVIROTECH LTD

2. Type of Listed Issuer:

Company/Corporation

Registered/Recognised Business Trust

Real Estate Investment Trust

3. Name of Director/CEO:

CHONG WENG CHIEW

  1. Is the Director/CEO also a substantial shareholder/unitholder of the Listed Issuer?

  2. Yes

No

  1. Is the Director/CEO notifying in respect of his interests in securities of, or made available by, the Listed Issuer at the time of his appointment?

  2. Yes (Please proceed to complete Part II)

  3. No (Please proceed to complete Part III)

  4. Date of notification to Listed Issuer:

07-Jan-2020

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Part III - For an incumbent Director/CEO giving notice of an acquisition of, or a change in his interest in, securities of or made available by the Listed Issuer

Transaction A

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  1. Date of acquisition of or change in interest:

  2. 06-Jan-2020

  3. Date on which Director/CEO became aware of the acquisition of, or change in, interest ( if different from item 1 above, please specify the date ):

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  • 06-Jan-2020

  • Explanation ( if the date of becoming aware is different from the date of acquisition of, or change in, interest ):

  • Type of securities which are the subject of the transaction (more than one option may be chosen):

Ordinary voting shares/units of Listed Issuer

Other types of shares/units ( excluding ordinary voting shares/units ) of Listed Issuer

  • Rights/Options/Warrants over shares/units of Listed Issuer

Debentures of Listed Issuer

Rights/Options over debentures of Listed Issuer

Contracts over shares of the Listed Issuer which Director/CEO is a party to, or under which he is entitled to a benefit, being contracts under which any person has a right to call for or to make delivery of shares in the Listed Issuer

Participatory interests made available by Listed Issuer

Others ( please specify ):

  1. Number of shares, units, rights, options, warrants, participatory interests and/or principal amount/value of debentures or contracts acquired or disposed of by Director/CEO:

  2. 1,000,000

  3. Amount of consideration paid or received by Director/CEO ( excluding brokerage and stamp duties ):

  4. $550,000

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FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

7. 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 employee share options/share awards

Vesting of share awards

Exercise of employee share options

Acceptance of take-over offer for Listed Issuer

Corporate action by Listed Issuer ( please specify ):

Others ( please specify ):

  1. Quantum of interests in securities held by Director/CEO before and after the transaction.

Please complete relevant table(s) below ( for example, Table 1 should be completed if the change relates to ordinary voting shares of the Listed Issuer; Table 4 should be completed if the change relates to debentures ):

Table 1. Change in respect of ordinary voting shares/units of Listed Issuer

Immediately before the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 1,000,000 0 1,000,000
As a percentage of total no. of ordinary
voting shares/units:		 0.04 0 0.04
Immediately after the transaction Direct Interest Deemed Interest Total
No. of ordinary voting shares/units held: 0 0 0

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FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

0

0

0

As a percentage of total no. of ordinary voting shares/units:

  1. Circumstances giving rise to deemed interests ( if the interest is such ):

  2. [You may attach a chart(s) in item 10 to illustrate how the Director/CEO's deemed interest, as set out in item 8 tables 1 to 8, arises]

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10. Attachments ( if any ):

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(The total file size for all attachment(s) should not exceed 1MB.)

  1. If this is a replacement of an earlier notification, please provide:

  2. (a) SGXNet announcement reference of the first notification which was announced on SGXNet ( the "Initial Announcement" ):

  3. (b) Date of the Initial Announcement:

  4. (c) 15-digit transaction reference number of the relevant transaction in the Form 1 which was attached in the Initial Announcement:

12. Remarks ( if any ):

Dr. Chong Weng Chiew has, on 6 January 2019, accepted the exit offer from CLSA Singapore Pte Ltd (for and on behalf of CKM (Cayman) Company Limited) to acquire all the ordinary shares in the CITIC Envirotech Ltd in respect of all his shares.

Transaction Reference Number ( auto-generated ):

023595843343472

Item 13 is to be completed by an individual submitting this notification form on behalf of the Director/CEO.

  1. Particulars of Individual submitting this notification form to the Listed Issuer:

  2. (a) Name of Individual:

  3. (b) Designation ( if applicable ):

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FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

  • (c) Name of entity ( if applicable ):

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FORM 1/[ Version 2.0 ]/Effective Date [ 21 March 2014 ]

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