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CITIC Limited — Major Shareholding Notification 2018
Mar 28, 2018
49082_rns_2018-03-28_756ef23f-0d44-4e9f-92ac-ffcb0c8cc9e7.pdf
Major Shareholding Notification
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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 28 March 2018 released by CITIC Envirotech Ltd. (a subsidiary of CITIC Limited) to Singapore Exchange Limited in relation to the following:-
-
- Disclosure of Interest/Changes in Interest of Substantial Shareholder(s)/Unitholder(s): CENVIT (Cayman) Company Limited;
-
- Disclosure of Interest/Changes in Interest of Substantial Shareholder(s)/Unitholder(s): CRF Envirotech Ltd.
-
- Disclosure of Interest/Changes in Interest of Substantial Shareholder(s)/Unitholder(s): P&L Capital Limited; and
-
- Disclosure of Interest/Changes in Interest of Director/Chief Executive Officer: Bi Jingzhuang
Hong Kong, 28 March 2018
As at the date of this announcement, the executive directors of CITIC Limited are Mr Chang Zhenming (Chairman), Mr Wang Jiong, Ms Li Qingping and Mr Pu Jian; the non-executive directors of CITIC Limited are Mr Liu Yeqiao, Mr Song Kangle, Ms Yan Shuqin, Mr Liu Zhuyu, Mr Liu Zhongyuan, Mr Yang Xiaoping and Mr Wu Youguang; and the independent non-executive directors of CITIC Limited are Mr Francis Siu Wai Keung, Dr Xu Jinwu, Mr Anthony Francis Neoh, Ms Lee Boo Jin, Mr Noriharu Fujita and Mr Paul Chow Man Yiu.
| Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s)::CENVIT (Cayman) Company | |
|---|---|
| Limited |
Issuer & Securities
| Issuer/Manager | CITIC ENVIROTECH LTD. |
|---|---|
| Stapled Security | No |
| Announcement Details | |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
| Date & Time of Broadcast | 28-Mar-2018 17:23:15 |
| Status | New |
| Announcement Sub Title | CENVIT (Cayman) Company Limited |
| Announcement Reference | SG180328OTHRSD0P |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Group CEO and Executive Director |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Disclosure by a Substantial Shareholders of change in interests |
| Additional Details | |
|---|---|
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) |
| Date of receipt of notice by Listed Issuer | 28/03/2018 |
| Attachments | @CEICL-Form3.28.March.2018.pdf if you are unable to view the above file, please click the link below. 0 CEICL-Form3.28.March.2018.pdf Total size =167K |
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:
CITIC 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:
28-Mar-2018
| [To be used for multiple Substantial Shareholders/Unitholders to give notice] | ||||
|---|---|---|---|---|
| A Substantial Shareholder/Unitholder |
Delete This Part III Substantial Shareholder/Unitholder | |||
| 1. | Name of Substantial Shareholder/Unitholder: | |||
| CENVIT (Cayman) 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: | |||
| 26-Mar-2018 | ||||
| 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): | ||
| 26-Mar-2018 | ||||
| 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: |
1,237,687,284 | 1,237,687,284 | ||
| As a percentage of total no. of voting shares/ units: |
54.17 | 0 | 54.17 | |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total | |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
1,237,687,284 | 1,237,687,284 |
| 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] |
|
|---|---|
| Arising from the placement announced on 26 March 18. | |
| 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] |
|
| issuer. | CITIC Group Corporation is the parent company of CITIC Limited, which is the parent company of CITIC Corporation Limited, which is the parent company of CITIC Environment Investment Group Co., Ltd., which is the parent company of CITIC Environment (International) Company Limited, which controls CKM (Cayman) Company Limited, which controls CENVIT (Cayman) Company Limited, which holds shares directly in the |
| 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: |
| Remarks (if any): | |
| B Substantial Shareholder/Unitholder Delete This Part III Substantial Shareholder/Unitholder |
|
| Name of Substantial Shareholder/Unitholder: CKM (Cayman) Company Limited |
|
| 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)? |
-
- 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:
- 26-Mar-2018
- 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.
26-Mar-2018
-
- 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 | 1,437,493,128 | 1,437,493,128 |
| As a percentage of total no. of voting shares/ units: |
0 | 62.91 | 62.91 |
| 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 | 1,437,493,128 | 1,437,493,128 |
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]
Please refer to the disclosure in Paragraph 8 for CENVIT (Cayman) Company Limited.
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 disclosure in Paragraph 9 for CENVIT (Cayman) Company Limited. | |
|---|---|
| 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: |
|
| C Substantial Shareholder/Unitholder |
|
| Delete This Part III Substantial Shareholder/Unitholder Name of Substantial Shareholder/Unitholder: |
|
| CITIC Environment (International) Company Limited | |
| securities of the Listed Issuer are held solely through fund manager(s)? Yes ✔ No |
|
| Notification in respect of: Becoming a Substantial Shareholder/Unitholder |
|
| Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the ✔ 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: | |
| 26-Mar-2018 | |
| 1. 2. 3. 4. 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): |
-
- 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 | 1,437,493,128 | 1,437,493,128 |
| As a percentage of total no. of voting shares/ units: |
0 | 62.91 | 62.91 |
| 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 | 1,437,493,128 | 1,437,493,128 |
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.
Please refer to the disclosure in Paragraph 8 for CENVIT (Cayman) Company Limited.
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 disclosure in Paragraph 9 for CENVIT (Cayman) Company Limited.
- 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): |
| Substantial Shareholder/Unitholder D Delete This Part III Substantial Shareholder/Unitholder |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| CITIC Environment Investment Group Co., Ltd. | |
| 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: |
| 26-Mar-2018 | |
| 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): 26-Mar-2018 |
| 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 | 1,437,493,128 | 1,437,493,128 |
|---|---|---|---|
| As a percentage of total no. of voting shares/ units: |
0 | 62.91 | 62.91 |
| 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 | 1,437,493,128 | 1,437,493,128 |
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]
Please refer to the disclosure in Paragraph 8 for CENVIT (Cayman) Company Limited.
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 disclosure in Paragraph 9 for CENVIT (Cayman) Company Limited.
- 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): | |
| Substantial Shareholder/Unitholder E Delete This Part III Substantial Shareholder/Unitholder |
||
|---|---|---|
| 1. | Name of Substantial Shareholder/Unitholder: | |
| CITIC Corporation 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: | |
| 26-Mar-2018 | ||
| 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): |
|
| 26-Mar-2018 | ||
| 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 |
||
| 0 1,437,493,128 1,437,493,128 No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
||
| 0 62.91 62.91 As a percentage of total no. of voting shares/ units: |
0 1,437,493,128 1,437,493,128
0 60.7 60.7
convertible debentures :
units:
No. of voting shares/units held and/or underlying the rights/options/warrants/
As a percentage of total no. of voting shares/
| 8. | 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] |
|
|---|---|---|
| Please refer to the disclosure in Paragraph 8 for CENVIT (Cayman) Company Limited. | ||
| 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 disclosure in Paragraph 9 for CENVIT (Cayman) Company Limited. | ||
| 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): | |
| F Substantial Shareholder/Unitholder Delete This Part III Substantial Shareholder/Unitholder |
||
| 1. | Name of Substantial Shareholder/Unitholder: | |
| CITIC Limited | ||
| 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)? |
-
- 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:
- 26-Mar-2018
- 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.
26-Mar-2018
-
- 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 | 1,437,493,128 | 1,437,493,128 |
| As a percentage of total no. of voting shares/ units: |
0 | 62.91 | 62.91 |
| 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 | 1,437,493,128 | 1,437,493,128 |
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]
Please refer to the disclosure in Paragraph 8 for CENVIT (Cayman) Company Limited.
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.
| 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): | |
| G Substantial Shareholder/Unitholder Delete This Part III Substantial Shareholder/Unitholder Name of Substantial Shareholder/Unitholder: |
||
| CITIC Group Corporation | ||
| 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)? |
|
| 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: | ||
| 26-Mar-2018 | ||
| 1. 2. 3. 4. 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): |
-
- 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 | 1,437,493,128 | 1,437,493,128 |
| As a percentage of total no. of voting shares/ units: |
0 | 62.91 | 62.91 |
| 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 | 1,437,493,128 | 1,437,493,128 |
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.
Please refer to the disclosure in Paragraph 8 for CENVIT (Cayman) Company Limited.
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 disclosure in Paragraph 9 for CENVIT (Cayman) Company Limited.
- 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): | |
Additional Substantial Shareholder/Unitholder ("B", "C" etc) where the information in Part I and Part IV is the same for the additional Substantial Shareholder/Unitholder
Add New Part III Substantial Shareholder/Unitholder
| Part IV - Transaction details |
|---|
| ------------------------------- |
| 1. | 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): | |
| 2. | Number of shares, units, rights, options, warrants and/or principal amount of convertible debentures acquired or disposed of by Substantial Shareholders/Unitholders: |
| NIL | |
| 3. | Amount of consideration paid or received by Substantial Shareholders/Unitholders (excluding brokerage and stamp duties): |
| N/A | |
| 4. | 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): |
|
| Arising from the placement announced on 26 March 18. | |
| 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:
Tricia Teo
(b) Designation (if applicable):
Associate
(c) Name of entity (if applicable):
Rajah & Tann Singapore LLP
Transaction Reference Number (auto-generated):
| 8 3 1 3 3 8 3 4 1 5 4 2 6 6 |
|---|
| -------------------------------------------------------------------- |
| Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s)::CRF Envirotech Ltd | ||||
|---|---|---|---|---|
| Issuer & Securities | ||||
| Issuer/Manager | CITIC ENVIROTECH LTD. | |||
| Securities | CITICENVIR S\$240M3.9%PERPSEC - SG7IA3000003 - 82IB CITIC ENVIR S\$225M 4.7%N180429 - SG6WH1000003 - 28QB CITIC ENVIROTECH LTD. - SG1DE3000009 - CEE CITICENVIR US\$175M5.45%PERPSEC - XS1326469969 - 38AB |
|||
| Stapled Security | No | |||
| Announcement Details | ||||
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
|||
| Date & Time of Broadcast | 28-Mar-2018 17:23:22 | |||
| Status | New | |||
| Announcement Sub Title | CRF Envirotech Ltd | |||
| Announcement Reference | SG180328OTHRZB7D | |||
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng | |||
| Designation | Group CEO and Executive Director | |||
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Disclosure by a Substantial Shareholder of the Company of a change in interest |
|||
| Additional Details | ||||
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) | |||
| Date of receipt of notice by Listed Issuer | 27/03/2018 | |||
| Attachments | @CRFEnvirotech.-Form3.27.March.2018.pdf if you are unable to view the above file, please click the link below. 0 CRFEnvirotech.-Form3.27.March.2018.pdf Total size =129K |
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

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 company incorporated in Singapore any or all of the shares in which are listed for quotation on the $(a)$ 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;
-
a registered business trust (as defined in the Business Trusts Act (Cap. 31A)) any or all of the units $(c)$ 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
$\mathbf{1}$ . Name of Listed Issuer:
CITIC ENVIROTECH LTD
- $2.$ Type of Listed Issuer:
- Company/Corporation
- Registered/Recognised Business Trust
- Real Estate Investment Trust
$3.$ Is more than one Substantial Shareholder/Unitholder giving notice in this form?
- $\Box$ No (Please proceed to complete Part II)
- $\sqrt{\phantom{a}}$ Yes (Please proceed to complete Parts III & IV)
- $4.$ Date of notification to Listed Issuer:
27-Mar-2018
| [To be used for multiple Substantial Shareholders/Unitholders to give notice] | ||||
|---|---|---|---|---|
| Substantial Shareholder/Unitholder A | 60 | |||
| 1. | Name of Substantial Shareholder/Unitholder: | |||
| CRF Envirotech Co., Ltd. | ||||
| 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 $ \mathcal{J} $ |
|||
| 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: | |||
| 26-Mar-2018 | ||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): |
|||
| 26-Mar-2018 | ||||
| 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: |
5,380,480,100 | 5,380,480,100 | ||
| units: | As a percentage of total no. of voting shares/ 610 |
23.55 | 0 | 23.55 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total | |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
5,380,480,100 | 0 | 5,380,480,100 |
| 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] |
CRF Envirotech Co., Ltd.'s direct interest in Citic Envirotech Ltd has decreased from 23.55% to 22.72% after the completion of the placement announced on 26 March 18.
$9.$ 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/ Unitholders1
-
CRF Envirotech Co., Ltd. ("CRF Envirotech Co") holds directly the shares in Citic Envirotech Ltd ("Shares").
-
CRF Envirotech Fund L.P. holds two-thirds of the interest in CRF Envirotech Co, and is in turn 100% held by its general partner CRF Envirotech GP Ltd., which is in turn 100% held by China Reform Puissance Overseas GP L.P. ("China Reform Puissance Overseas GP"), which is in turn 100% held by its general partner China Reform Puissance Overseas Holdings Limited, which is in turn:
$(a)$ 25.5% held by China Reform Overseas Feeder GP Ltd., which is 100% held by China Reform Overseas Cayman Company Limited, which in turn is 100% held by China Reform Investment Funds Management Co., Ltd.;
$|$ (b) 24.5% held by Golden Bridge Capital Holdings Limited, which is 100% held by Mr Bi Jingshuang;
$|c\rangle$ 22% held by Soochow International Capital Limited, which is 100% held by Soochow Securities (Hong Kong) Financial Holdings Limited, which in turn is 100% held by Soochow Securities Co., Ltd;
$|d\rangle$ 22% held by Haitian (HK) Financial Development Limited, which is 100% held by Qingdao Conson Financial Holdings Co., Ltd., which in turn is 88% held by Qingdao Conson Development (Group) Co., Ltd., which in turn is 100% held by State-Owned Assets Supervision and Administration Commission of the Qingdao Municipal Government.
-
China Reform Conson Soochow Overseas Fund I L.P. holds one-third of the interest in CRF Envirotech Co, and is turn 100% held by its general partner China Reform Puissance Overseas GP.
-
Attachments (if any): $\bullet$
(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:
15-digit transaction reference number of the relevant transaction in the Form 3 $(c)$ which was attached in the Initial Announcement:
- Remarks (if any):
| $\mathbf 1$ . | Substantial Shareholder/Unitholder B 6 Name of Substantial Shareholder/Unitholder: |
||||||
|---|---|---|---|---|---|---|---|
| CRF Envirotech 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 | |||||||
| 4. | Date of acquisition of or change in interest: | ||||||
| 26-Mar-2018 | |||||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bullet$ (if different from item 4 above, please specify the date): |
||||||
| 26-Mar-2018 | |||||||
| 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/ |
ľ $\overline{\phantom{a}}$ $\overline{\smash{)}\,23.55}$ $\frac{1}{23.55}$
| As a percentage of total no. of voting shares/ units: |
---- | ||
|---|---|---|---|
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
538,048,010 | 538.048.010 |
| units: | 60 | As a percentage of total no. of voting shares/ | 0 | 22.72 | 22.72 | |||
|---|---|---|---|---|---|---|---|---|
| 8. | 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] |
|||||||
| Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co. | ||||||||
| 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 disclosure in Paragraph 9 for CRF Envirotech Co. | ||||||||
| 10. 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: SGXNet announcement reference of the first notification which was announced (a) 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): |
| Name of Substantial Shareholder/Unitholder: | |
|---|---|
| ICRF Envirotech GP Ltd. | |
| 2 o | 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)? $ \mathcal{V} $ 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 VI |
|
| Ceasing to be a Substantial Shareholder/Unitholder | |
| 4. | Date of acquisition of or change in interest: |
| 26-Mar-2018 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): |
| 26-Mar-2018 |
$7.$ 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 | 538,048,010 | 538,048,010 |
| As a percentage of total not of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538,048,010 |
$8.$ 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]
$9 -$ 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 disclosure in Paragraph 9 for CRF Envirotech Co.
- Attachments (if any):


-
- 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"):
- Date of the Initial Announcement: $(b)$
-
$(c)$ 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
-
Remarks (if any):
Substantial Shareholder/Unitholder D
$1.$ Name of Substantial Shareholder/Unitholder:
China Reform Puissance Overseas GP 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)?
G
$\sqrt{ }$ Yes
$\Box$ 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:
26-Mar-2018
- $51$ Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): 26-Mar-2018
- $6.$ 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538.048.010 |
- 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
$91$ 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 disclosure in Paragraph 9 for CRF Envirotech Co.
| 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): | |||||
| Substantial Shareholder/Unitholder E 6 |
||||||
| 1. | Name of Substantial Shareholder/Unitholder: | |||||
| China Reform Puissance Overseas Holdings Limited | ||||||
| 2. | Is Substantial Shareholder/Unitholder a fund manager or a person whose interest in the | |||||
| $\nabla$ Yes No |
securities of the Listed Issuer are held solely through fund manager(s)? | |||||
| Notification in respect of: | ||||||
| Becoming a Substantial Shareholder/Unitholder | ||||||
| ∣✓∣ | ||||||
| Ceasing to be a Substantial Shareholder/Unitholder | ||||||
| Date of acquisition of or change in interest: | ||||||
| 26-Mar-2018 | ||||||
| 3. 4. 5. |
Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bullet\hspace{0.1cm}$ (if different from item 4 above, please specify the date): |
|||||
| 26-Mar-2018 |
$7.$ 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 | 538,048,010 | 538.048.010 |
| As a percentage of total no. of voting shares/ units. |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 22.72 | 22.72 |
$8.$ 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
- 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
-
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 $(a)$ on SGXNet (the "Initial Announcement"):

- $(b)$ Date of the Initial Announcement:
- 15-digit transaction reference number of the relevant transaction in the Form 3 $(c)$ which was attached in the Initial Announcement:
| 12. | Remarks (if any): | |||
|---|---|---|---|---|
| Substantial Shareholder/Unitholder F | 6 | |||
| $\mathbf 1$ . | Name of Substantial Shareholder/Unitholder: | |||
| China Reform Overseas Feeder GP Ltd. | ||||
| 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)? $\sqrt{ }$ 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: | |||
| 26-Mar-2018 | ||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): |
|||
| 26-Mar-2018 | ||||
| 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 | 538,048,010 | 538,048,010 | |
| units: | As a percentage of total no. of voting shares/ 60 |
0 | 23.55 | 23.55 |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
538,048,010 | 538,048,010 |
|---|---|---|
| As a percentage of total no, of voting shares/ units: |
22.72 | 22.72 |
$81$ 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
$9.$ 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 disclosure in Paragraph 9 for CRF Envirotech Co.
- Attachments (if any):
| 1 $\mathcal{L}$ ı |
|---|
| I ٢ |
| ł S |
| y. ٠ |
- (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 $(a)$ on SGXNet (the "Initial Announcement"):
-
Date of the Initial Announcement: $(b)$
- 15-digit transaction reference number of the relevant transaction in the Form 3 $(c)$ which was attached in the Initial Announcement:
6
| _____ | the self-control of the control of the control of the control of the control of the control of the control of the control of the control of the control of the control of the control of the control of the control of the con | -- | __ |
____ | _____ | . | |||
|---|---|---|---|---|---|---|---|---|---|
- Remarks (if any):
Substantial Shareholder/Unitholder G
| 1 1 | Name of Substantial Shareholder/Unitholder: |
|---|---|
| China Reform Overseas Cayman 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)? $\nabla$ 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: |
| 26-Mar-2018 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bullet\hspace{-.15cm}\bullet$ (if different from item 4 above, please specify the date): |
| 26-Mar-2018 | |
| 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/ $7.$ 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units. |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538,048,010 |
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]
| lease refer to the disclosure in Paragraph 8 for CRF Envirotech Co. | ||
|---|---|---|
| --------------------------------------------------------------------- | -- | -- |
$9.$ 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
- Attachments (if any):
$\overline{\mathscr{U}}$
(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:
-
Remarks (if any):
Substantial Shareholder/Unitholder H 67)
| Name of Substantial Shareholder/Unitholder: | |
|---|---|
| --------------------------------------------- | -- |
| China Reform Investment Funds Management Co., Ltd. |
|---|
$2.$ 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)?
$\mathbf 1$ .
- $\Box$ No
- $3.$ Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- 7 Change in the percentage level of interest while still remaining a Substantial Shareholder/Unitholder
- Ceasing to be a Substantial Shareholder/Unitholder
$\overline{4}$ . Date of acquisition of or change in interest:
26-Mar-2018
- $5.$ Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): 26-Mar-2018
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the $6.$ change in, interest):
- Quantum of total voting shares/units (including voting shares/units underlying rights/options/ $\mathbf{7}$ . 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538,048,010 |
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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
- 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
| 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: SGXNet announcement reference of the first notification which was announced (a) on SGXNet (the "Initial Announcement"): Date of the Initial Announcement: (b) |
|
| 15-digit transaction reference number of the relevant transaction in the Form 3 (c) which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): |
| 1. | Substantial Shareholder/Unitholder 60 Name of Substantial Shareholder/Unitholder: |
| Golden Bridge Capital Holdings 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 |
| $\sqrt{7}$ 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: |
| 26-Mar-2018 | |
| Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bullet$ (if different from item 4 above, please specify the date): |
|
| 26-Mar-2018 | |
| 5. 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538,048,010 |
- 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
$91$ 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 disclosure in Paragraph 9 for CRF Envirotech Co.
- Attachments (if any):
$\mathscr A$
(The total file size for all attachment(s) should not exceed 1MB.)
- $11.$ If this is a replacement of an earlier notification, please provide:
- SGXNet announcement reference of the first notification which was announced $(a)$ on SGXNet (the "Initial Announcement"):
| (b) | Date of the Initial Announcement: |
|---|---|
| 12. Remarks (if any): | ||||
|---|---|---|---|---|
| Substantial Shareholder/Unitholder J | 6 | |||
| 1. | Name of Substantial Shareholder/Unitholder: | |||
| Bi Jingshuang | ||||
| 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)? $\nabla$ 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: | |||
| 26-Mar-2018 | ||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): |
|||
| 26-Mar-2018 | ||||
| 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 | 538,048,010 | 538,048,010 | |
| As a percentage of total no. of voting shares/ | 0 | 23.55 | 23.55 | |
| units: | 61 |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
538,048,010 | 538,048,010 |
|---|---|---|
| As a percentage of total no. of voting shares/ units: |
22.72 | 22.72 |
$81$ 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
$91$ 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
-
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:
15-digit transaction reference number of the relevant transaction in the Form 3 $(c)$ which was attached in the Initial Announcement:
$\bigcirc$
- Remarks (if any):
Substantial Shareholder/Unitholder K
| Soochow International Capital 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)? $\sqrt{ }$ 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 I√I |
|||
| Ceasing to be a Substantial Shareholder/Unitholder | |||
| Date of acquisition of or change in interest: | |||
| 26-Mar-2018 | |||
| Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): |
|||
| 26-Mar-2018 | |||
| 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: | |||
| Immediately before the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
$\pmb{0}$ | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: GD |
0 | 23.55 | 23.55 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
22.72
22.72
$\boxed{0}$
units: $\bigcirc$
As a percentage of total no. of voting shares/
| lease refer to the disclosure in Paragraph 8 for CRF Envirotech Co. | |
|---|---|
- 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
- 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 $(a)$ on SGXNet (the "Initial Announcement"):
Date of the Initial Announcement: $(b)$
$(c)$ 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
- Remarks (if any):
Substantial Shareholder/Unitholder L 6 1. Name of Substantial Shareholder/Unitholder:
- Soochow Securities (Hong Kong) Financial Holdings 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)?
| v ρs |
|---|
| ∩ש |
- $3z$ Notification in respect of:
- Becoming a Substantial Shareholder/Unitholder
- 7 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:
26-Mar-2018
-
- Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): 26-Mar-2018
- Explanation (if the date of becoming aware is different from the date of acquisition of, or the $6.$ 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538,048,010 |
$8.$ 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
- 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 disclosure in Paragraph 9 for CRF Envirotech Co.
| 11. | (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 (a) on SGXNet (the "Initial Announcement"): |
|---|---|
| Date of the Initial Announcement: (b) |
|
| 15-digit transaction reference number of the relevant transaction in the Form 3 (c) which was attached in the Initial Announcement: |
|
| 12. | Remarks (if any): |
| Substantial Shareholder/Unitholder M 6 |
|
| 1. | Name of Substantial Shareholder/Unitholder: |
| Soochow Securities Co., Ltd | |
| 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)? $\nabla$ 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: |
| 26-Mar-2018 | |
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): |
| 26-Mar-2018 | |
| 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/ $7.$ 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538.048.010 | 538,048,010 |
$81$ 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
$9.$ 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 disclosure in Paragraph 9 for CRF Envirotech Co.
- 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:
- SGXNet announcement reference of the first notification which was announced $(a)$ on SGXNet (the "Initial Announcement"):
-
Date of the Initial Announcement: $(b)$
-
$(c)$ 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
| 12. | Remarks (if any): | |||
|---|---|---|---|---|
| Substantial Shareholder/Unitholder N | 60 | |||
| 1. | Name of Substantial Shareholder/Unitholder: | |||
| Haitian (HK) Financial Development 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)? $\sqrt{ }$ 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: | |||
| 26-Mar-2018 | ||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bullet\hspace{-.15cm}\bullet$ (if different from item 4 above, please specify the date): |
|||
| 26-Mar-2018 | ||||
| 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 | 538,048,010 | 538,048,010 | |
| As a percentage of total no. of voting shares/ units: Œ |
0 | 23.55 | 23.55 | |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
538,048,010 | 538,048,010 |
|---|---|---|
| As a percentage of total no. of voting shares/ units: |
22.72 | 22.72 |
$8.$ 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
$9 -$ 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
- Attachments (if any):
$\mathscr U$
- (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:
- 15-digit transaction reference number of the relevant transaction in the Form 3 $(c)$ which was attached in the Initial Announcement:
0
- Remarks (if any):
Substantial Shareholder/Unitholder O
| 1. Name of Substantial Shareholder/Unitholder: Qingdao Conson Financial Holdings Co., Ltd 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)? $\sqrt{ }$ 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 VI Ceasing to be a Substantial Shareholder/Unitholder 4. Date of acquisition of or change in interest: 26-Mar-2018 5. Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): 26-Mar-2018 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: Direct Interest Immediately before the transaction Deemed Interest Total 0 538,048,010 538,048,010 No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: 0 |
|||
|---|---|---|---|
| units: 61 |
As a percentage of total no. of voting shares/ | 23.55 | 23.55 |
| unus. | |||
|---|---|---|---|
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| Not of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
538,048,010 | 538,048,010 | |
| As a percentage of total not of voting shares/ units: |
0 | 22.72 | 22.72 |
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 $8.$ interest arises]
| Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co. | |
|---|---|
$9 -$ 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
- 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 $(a)$ on SGXNet (the "Initial Announcement"):
Date of the Initial Announcement: $(b)$
$(c)$ 15-digit transaction reference number of the relevant transaction in the Form 3 which was attached in the Initial Announcement:
- Remarks (if any):
Substantial Shareholder/Unitholder P $\bigcirc$
$\mathbf{1}$ . Name of Substantial Shareholder/Unitholder:
Qingdao Conson Development (Group) Co., Ltd
$2.$ 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)?
| ٠ es |
|---|
| Nο |
- $3.$ 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;
26-Mar-2018
- $5.$ Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): 26-Mar-2018
- $6.$ 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 22.72 | 22.72 |
- 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
- 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 disclosure in Paragraph 9 for CRF Envirotech Co.
| 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): | ||||||
| Substantial Shareholder/Unitholder Q GD |
|||||||
| 1. | Name of Substantial Shareholder/Unitholder: | ||||||
| SASAC of the Qingdao Municipal Government | |||||||
| 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)? | |||||||
| $\sqrt{ }$ Yes | |||||||
| No | |||||||
| 3. | Notification in respect of: | ||||||
| Becoming a Substantial Shareholder/Unitholder | |||||||
| I√I | 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: | |||||||
| 4. | 26-Mar-2018 | ||||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bigcirc$ (if different from item 4 above, please specify the date): |
||||||
| 26-Mar-2018 | |||||||
| 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 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 23.55 | 23.55 |
| 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 | 538.048.010 | 538,048,010 |
| As a percentage of total no. of voting shares/ units: |
0 | 22.72 | 22.72 |
- 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
Relationship between the Substantial Shareholders/Unitholders giving notice in this form: $9.$ [You may attach a chart in item 10 to show the relationship between the Substantial Shareholders/ Unitholders]
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
- Attachments (if any):
$\mathscr U$
(The total file size for all attachment(s) should not exceed 1MB.)
- If this is a replacement of an earlier notification, please provide: $11.$
- SGXNet announcement reference of the first notification which was announced $(a)$ 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: |
| "SASAC" in item 1 above refers to "State-owned Assets Supervision and Administration Commission". | |||||||
|---|---|---|---|---|---|---|---|
| Substantial Shareholder/Unitholder R | 6 | ||||||
| 1. | Name of Substantial Shareholder/Unitholder: | ||||||
| China Reform Conson Soochow Overseas Fund I 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)? $\sqrt{ }$ Yes No |
||||||
| 3. | Notification in respect of: | ||||||
| Becoming a Substantial Shareholder/Unitholder | |||||||
| $\sqrt{\phantom{a}}$ 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: | ||||||
| 26-Mar-2018 | |||||||
| 5. | Date on which Substantial Shareholder/Unitholder became aware of the acquisition of, or the change in, interest $\bullet$ (if different from item 4 above, please specify the date): |
||||||
| 26-Mar-2018 | |||||||
| 6. | change in, interest): | Explanation (if the date of becoming aware is different from the date of acquisition of, or the | |||||
| 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 | ||||
| $\mathbf 0$ No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
538,048,010 | 538,048,010 | |||||
| 0 As a percentage of total no. of voting shares/ units: |
23.55 | 23.55 |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures : |
538,048,010 | 538,048,010 |
|---|---|---|
| As a percentage of total nonof voting shares/ units: |
22.72 | 22.72 |
- 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]
Please refer to the disclosure in Paragraph 8 for CRF Envirotech Co.
$9:$ 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/ Unitholders1
Please refer to the disclosure in Paragraph 9 for CRF Envirotech Co.
- 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: $11.$
- $(a)$ SGXNet announcement reference of the first notification which was announced on SGXNet (the "Initial Announcement"):
$(b)$ Date of the Initial Announcement:
15-digit transaction reference number of the relevant transaction in the Form 3 $(c)$ which was attached in the Initial Announcement:
- Remarks (if any):
| Part IV - Transaction details |
|---|
| Type of securities which are the subject of the transaction (more than one option may be chosen): |
| Voting shares/units I√I |
| 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: |
| NIL |
| Amount of consideration paid or received by Substantial Shareholders/Unitholders (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 Shareholders/Unitholders did not participate $ \checkmark $ in (please specify): |
| CRF Envirotech Co., Ltd.'s direct interest in Citic Envirotech Ltd has decreased from 23.55% to 22.72% after the completion of the placement announced on 26 March 18. |
| 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:
Tricia Teo
Designation (if applicable): $(b)$
Associate
$(c)$ Name of entity (if applicable):
Rajah & Tann Singapore LLP
Transaction Reference Number (auto-generated).
| 724438341563693 |
|---|
| ----------------- |
| Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s)::P&L Capital Limited | |
|---|---|
| Issuer & Securities | |
| Issuer/Manager | CITIC ENVIROTECH LTD. |
| Securities | CITICENVIR S\$240M3.9%PERPSEC - SG7IA3000003 - 82IB CITIC ENVIR S\$225M 4.7%N180429 - SG6WH1000003 - 28QB CITIC ENVIROTECH LTD. - SG1DE3000009 - CEE CITICENVIR US\$175M5.45%PERPSEC - XS1326469969 - 38AB |
| Stapled Security | No |
| Announcement Details | |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Substantial Shareholder(s)/ Unitholder(s) |
| Date & Time of Broadcast | 28-Mar-2018 17:23:28 |
| Status | New |
| Announcement Sub Title | P&L Capital Limited |
| Announcement Reference | SG180328OTHRH52S |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Group CEO and Executive Director |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Disclosure by a Substantial Shareholder of a change in interests |
| Additional Details | |
| Person(s) giving notice | Substantial Shareholder(s)/Unitholder(s) (Form 3) |
| Date of receipt of notice by Listed Issuer | 27/03/2018 |
| Attachments | UP.LForm3.28.March2018.pdf if you are unable to view the above file, please click the link below. 9 P.LForm3.28.March2018.pdf Total size =138K |
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:
CITIC Envirotech Limited
-
- 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:
27-Mar-2018
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:
P&L Capital 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:
26-Mar-2018
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.
26-Mar-2018
- 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.
NIL
- 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): ✔
Before change is based on total issued shares of 2,251,797,476 and after change is based on 2,368,189,356 due to (1) Esos of 20,928,800 on 2 May 2017; (2) Esos of 12,247,000 on 20 November 2017 and (3) Share placement of 83,216,080 to New Resources LLC on 26 Mar 2018.
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: |
114,124,510 | 0 | 114,124,510 |
| As a percentage of total no. of voting shares/units: |
5.07 | 0 | 5.07 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of voting shares/units held and/or underlying the rights/options/warrants/ convertible debentures: |
114,124,510 | 0 | 114,124,510 |
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.
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):
| 3 | 1 2 5 1 4 1 4 3 8 5 2 1 3 2 |
|---|---|
| Item 14 is to be completed by an individual submitting this notification form on behalf of the Substantial Shareholder/Unitholder. |
|
| Particulars of Individual submitting this notification form to the Listed Issuer: | |
| (a) | Name of Individual: |
| Pan Shuhong | |
| (b) | Designation (if applicable): |
| COO | |
| (c) | Name of entity (if applicable): |
REPL::Disclosure of Interest/ Changes in Interest of Director/ Chief Executive Officer::Bi Jingzhuang
| Issuer & Securities | |
|---|---|
| Issuer/Manager | CITIC ENVIROTECH LTD. |
| Securities | CITICENVIR S\$240M3.9%PERPSEC - SG7IA3000003 - 82IB CITIC ENVIR S\$225M 4.7%N180429 - SG6WH1000003 - 28QB CITIC ENVIROTECH LTD. - SG1DE3000009 - CEE CITICENVIR US\$175M5.45%PERPSEC - XS1326469969 - 38AB |
| Stapled Security | No |
| Announcement Details | |
| Announcement Title | Disclosure of Interest/ Changes in Interest of Director/ Chief Executive Officer |
| Date & Time of Broadcast | 28-Mar-2018 19:46:50 |
| Status | Replacement |
| Announcement Sub Title | Bi Jingzhuang |
| Announcement Reference | SG180328OTHRHD7Z |
| Submitted By (Co./ Ind. Name) | Dr Lin Yucheng |
| Designation | Group CEO and Executive Director |
| Description (Please provide a detailed description of the event in the box below - Refer to the Online help for the format) |
Notification from a Director of the Company of a change in interests in the Company |
| Additional Details | |
| Person(s) giving notice | Director/Chief Executive Officer who may also be a substantial shareholder/unitholder (Form 1) |
| Date of receipt of notice by Listed Issuer | 27/03/2018 |
|---|---|
| Attachments | @CiticEnvirotech-Form1.BJS.27. March.2018.pdf if you are unable to view the above file, please click the link below. CiticEnvirotech-Form1.BJS.27. March.2018.pdf Total size =139K |
| Related Announcements | 28/03/2018 17:23:09 |
SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012
NOTIFICATION FORM FOR DIRECTOR/CHIEF EXECUTIVE OFFICER IN RESPECT OF INTERESTS IN SECURITIES
(Electronic Format)
1
FORM
Explanatory Notes
-
- Please read the explanatory notes carefully before completing this notification form.
- 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. 2.
- 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. 3.
- 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"). 4.
- 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. 5.
- 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. 6.
-
- Except for item 4 of Part III, 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. 8.
- In this form, the term "Listed Issuer" refers to 9.
- 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; (a)
- (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;
- 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; (c)
- 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 (d)
- (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 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").
| 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: |
| Bi Jingshuang | |
| 4. | Is the Director/CEO also a substantial shareholder/unitholder of the Listed Issuer? ✔ Yes |
| No | |
| 5. | 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? |
| (Please proceed to complete Part II) Yes |
|
| (Please proceed to complete Part III) ✔ No |
|
| 6. | Date of notification to Listed Issuer: |
| 27-Mar-2018 |
| Date of acquisition of or change in interest: 26-Mar-2018 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): 26-Mar-2018 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): |
|---|
| 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: |
| NIL |
| Amount of consideration paid or received by Director/CEO (excluding brokerage and stamp duties): |
| 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): |
| CRF Envirotech Co., Ltd.'s direct interest in Citic Envirotech Ltd has decreased from 23.55% to 22.72% after the |
| completion of the placement announced on 26 March 18. |
| Others (please specify): |
- 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: | 0 | 538,048,010 | 538,048,010 |
| As a percentage of total no. of ordinary voting shares/units: |
0 | 23.55 | 23.55 |
| Immediately after the transaction | Direct Interest | Deemed Interest | Total |
| No. of ordinary voting shares/units held: | 0 | 538,048,010 | 538,048,010 |
| 0 | 22.72 | 22.72 | ||
|---|---|---|---|---|
| As a percentage of total no. of ordinary | ||||
| voting shares/units: | ||||
-
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]
-
CRF Envirotech Co., Ltd. ("CRF Envirotech Co") holds directly the shares in Citic Envirotech Ltd ("Shares").
-
CRF Envirotech Fund L.P. holds two-thirds of the interest in CRF Envirotech Co, and is in turn 100% held by its general partner CRF Envirotech GP Ltd., which is in turn 100% held by China Reform Puissance Overseas GP L.P. ("China Reform Puissance Overseas GP"), which is in turn 100% held by its general partner China Reform Puissance Overseas Holdings Limited, which is in turn 24.5% held by Golden Bridge Capital Holdings Limited, which is 100% held by Mr Bi Jingshuang.
-
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)

(c) 15-digit transaction reference number of the relevant transaction in the Form 1 which was attached in the Initial Announcement:
- Remarks (if any):
Transaction Reference Number (auto-generated):
| 5 3 0 0 9 6 1 4 3 8 4 4 8 7 3 |
|---|
| ------------------------------------------------------------------------- |
Item 13 is to be completed by an individual submitting this notification form on behalf of the Director/CEO.
-
- Particulars of Individual submitting this notification form to the Listed Issuer:
- (a) Name of Individual:
Tricia Teo
Designation (if applicable): (b)
Associate
(c) Name of entity (if applicable):
Rajah & Tann Singapore LLP