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CStone Pharmaceuticals Share Issue/Capital Change 2019

Feb 13, 2019

50715_rns_2019-02-13_ab6d0612-2caa-41c2-80a2-f4e10cb65eac.pdf

Share Issue/Capital Change

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Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義 登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中 央結算系統投資者戶口持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

This Application Form uses the same terms as defined in the prospectus of CStone Pharmaceuticals (the “ Company ”) dated Thursday, February 14, 2019 (the “ Prospectus ”). Staple your 本申請表格使用基石藥業（「 本公司 」）於二零一九年二月十四日（星期四）刊發的招股章程（「 招股章程 」）所 payment 界定的詞語。 here Neither this Application Form nor the Prospectus constitutes an offer to sell or the solicitation of an offer to buy any Hong Kong Offer Shares in any jurisdiction other than Hong Kong. The Hong Kong Offer Shares may 請將股款 not be offered or sold in the United States without registration or an exemption from registration under the U.S. 緊釘在此 Securities Act. 本申請表格及招股章程概不構成在香港以外司法管轄權區要約出售或游說要約購買香港發售股份。若無根 據美國證券法登記或豁免登記，香港發售股份不得在美國提呈發售或出售。 This Application Form and the Prospectus may not be forwarded or distributed or reproduced (in whole or in part) in any manner whatsoever in any jurisdiction where such forwarding, distribution or reproduction is not permitted under the law of that jurisdiction. 在任何根據當地法例不得發送、派發或複製本申請表格及招股章程的司法管轄權區內概不得發送或派發或 複製（不論方式，也不論全部或部分）本申請表格及招股章程。 Copies of the Prospectus, all related Application Forms and the other documents specified in the “Documents Delivered to the Registrar of Companies in Hong Kong and Available for Inspection － Documents Delivered to the Registrar of Companies” section in Appendix VI to the Prospectus, have been registered by the Registrar of Companies in Hong Kong as required by Section 342C of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32). Hong Kong Exchanges and Clearing Limited, The Stock Exchange of Hong Kong Limited (the “ Stock Exchange ”), Hong Kong Securities Clearing Company Limited (“ HKSCC ”), the Securities and Futures Commission of Hong Kong (the “ SFC ”) and the Registrar of Companies of Hong Kong take no responsibility for the contents of these documents. 招股章程、所有相關申請表格及招股章程附錄六「送呈香港公司註冊處處長及備查文件－送呈公司註冊處 處長文件」一節所述其他文件已遵照第32章公司（清盤及雜項條文）條例第342C條的規定，送呈香港公司註 冊處處長登記。香港交易及結算所有限公司、香港聯合交易所有限公司（「 聯交所 」）、香港中央結算有限公 司（「 香港結算 」）、香港證券及期貨事務監察委員會（「 證監會 」）及香港公司註冊處處長對此等文件的內容 概不負責。 CStone Pharmaceuticals 基石藥業 (Incorporated in the Cayman Islands with limited liability) （於開曼群島註冊成立的有限公司） Stock Code : 2616 股份代號 : 2616 Maximum Offer Price : HK$12.80 per Offer Share plus brokerage of 1.0%, SFC transaction levy of 0.0027% and the Stock Exchange trading fee of 0.005% (payable in full on application in Hong Kong dollars subject to refund) 最高發售價 : 每股發售股份12.80港元，另加1.0%經紀佣金、 0.0027%證監會交易徵費及0.005%聯交所交易費 （須於申請時以港元繳足，多繳股款可予退還） You should read this Application Form in conjunction with the Prospectus, which contains further information on the application procedures. ， 一 。 招股 ~~章~~ 程 ~~尚有~~ 關 ~~於~~ 申 ~~請~~ 程 ~~序的~~ 其 ~~他資料~~ 本申請表格應與招股章程 併閱讀 Application Form 申請表格 To: CStone Pharmaceuticals 致： 基石藥業 Joint Sponsors 聯席保薦人 Joint Global Coordinators 聯席全球協調人 Joint Bookrunners 聯席賬簿管理人 Hong Kong Underwriters 香港包銷商

致： 基石藥業 聯席保薦人 聯席全球協調人 聯席賬簿管理人 香港包銷商 申請人聲明

Applicants’ declaration

~~本人╱~~ 吾 ~~等~~ 同意本申請表格及招股章程的條款及條件以及申 請程序。請參閱本申請表格「填交本申請表格的效用」一節。

I/We agree to the terms and conditions and application procedures in this Application Form and the Prospectus. Please refer to the “Effect of completing and submitting this Application Form” section of this Application Form. Warning: Only one application may be made for the benefit of any person. Please refer to the last four bullets of “Effect of completing and submitting this Application Form” section.

警告：任何人士只限作出一次為其利益而進行的認購申請。 ~~請參~~ 閱 ~~本申請表格「填交本申請表格的效~~ 用 ~~」~~ 一 ~~節~~ 最 ~~後~~ 四 ~~點~~ 。

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義 登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中 央結算系統投資者戶口持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

Signed by (all) applicant(s) (all joint applicants must sign): 由（所有）申請人簽署（所有聯名申請人必須簽署）：

For Broker use 此欄供經紀填寫 Lodged by 遞交申請的經紀 由（所有）申請人簽署（所有聯名申請人必須簽署）： Broker No. 經紀號碼 Broker’s Chop 經紀印章 Date 日期： / / D日 M月 Y年 Number of Hong Kong Offer Shares applied for (not more than Cheque/banker’s cashier order number 支票 ╱ 銀行本票號碼 9,320,000 Shares) 申請香港發售股份數目（不超過9,320,000股股份） Name of bank on which cheque/banker’s cashier order is drawn (see “How to make your application” section) 兌現支票 ╱ 銀行本 Total amount 總額 票的銀行名稱（見「申請手續」一節） HK$ 港元 Name in English (in BLOCK letters) 英文姓名╱名稱（正楷） Family name or company name 姓氏或公司名稱 Forename(s) 名字 Name in Chinese 中文姓名╱名稱 Family name or company name 姓氏或公司名稱 Forename(s) 名字 Occupation in English 職業（以英文填寫） Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No. (Please delete as appropriate) 香港身份證號碼╱護 照號碼╱香港商業登記號碼（請刪除不適用者） Names of all other joint applicants in English (if any, in BLOCK letters) Hong Kong Identity Card No./Passport No./Hong Kong Business Registration No. 所有其他聯名申請人的英文姓名╱名稱（如有，正楷） of all other joint applicants (Please delete as appropriate) 的香港身份證號碼╱護照號碼╱香港商業登記號碼（請刪除不適用者）所有其他聯名申請人 1) 1) 2) 2) 3) 3) Hong Kong address in English and telephone no. (joint applicants should give the address and the telephone number of first-named applicant only in BLOCK letters) 香港地址（以英文正楷填寫）及電話號碼（聯名申請人只須填寫排名首位申請人的地址及電話號碼） Telephone No. 電話號碼 For Nominees: You will be treated as applying for your own THIS BOX MUST BE DULY COMPLETED benefit if you do not complete this section. Please provide 必須填妥此欄 an account number or identification code for each (joint) beneficial owner. 由代名人遞交：代名人若不填寫本節，是項 Participant I.D. of the CCASS Investor Participant or designated CCASS Participant 中央結算系統投資者戶口持有人或指定的中央結算系統參與者的參與者編號 認購申請將視作為 閣下利益提出。請填寫每名（聯名）實 益擁有人的賬戶號碼或識別編碼。

ADDRESS LABEL 地址標貼 (Your name(s) and address in Hong Kong in BLOCK letters 請用英文正楷填寫 姓名╱名稱 及香港 地址 )

For designated CCASS Participant or Corporate CCASS Investor Participant, please also affix the company chop bearing its company name 指定的中央結算系統參與者或中央結算系統公司投資者戶口 持有人，請加蓋顯示公司名稱的公司印鑑

(See paragraph 2 in the section “How to make your application”) （請參閱「申請手續」一節第2段）

For internal use 此欄供內部使用

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義 登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中 央結算系統投資者戶口持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

  • *(1) If you are a CCASS Investor Participant, only a Hong Kong Identity Card number (if you are an individual) or a Hong Kong Business Registration number (if you are a body corporate) will be accepted for this application, please see paragraph 2 under the section “How to make your application”. 如 閣下為中央結算系統投資者戶口持有人，是項申請僅接納香港身份證號碼（如屬個別人士）或 香港商業登記號碼（如屬法人團體）；請參閱「申請手續」一節第2段。

  • (2) If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant): For an individual, you must provide your Hong Kong Identity Card number or passport number. If you hold a Hong Kong Identity Card, please provide that number. If you do not hold a Hong Kong Identity Card, please provide your passport number. For a body corporate, please provide your Hong Kong Business Registration number. 如 閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請：如屬個 別人士，必須填寫 閣下的香港身份證號碼或護照號碼（持有香港身份證者請填寫香港身份證號 碼，否則請填寫護照號碼）；如屬法人團體，請填寫香港商業登記號碼。

  • (3) Part of the Hong Kong Identity Card number/passport number of you or, for joint applicants, the firstnamed applicant may be printed on your refund cheque (if any). Such data will be used for checking the validity of Application Form and such data would also be transferred to a third party for such purpose and refund purpose. Your banker may require verification of your Hong Kong Identity Card number/passport number before you can cash your refund cheque. 日後如需退回申請股款，退款支票上或會印有 閣下或（如屬聯名申請人）排名首位申請人的香港 身份證號碼╱護照號碼的一部分。有關資料將用於核實申請表格的有效性，亦會轉交第三方作資 料核實和退款。銀行兌現退款支票前或會要求查證 閣下的香港身份證號碼╱護照號碼。

  • (4) If an application is made by an unlisted company and: • the principal business of that company is dealing in securities; and • you exercise statutory control over that company, then the application will be treated as being made for your benefit. 倘若申請人是一家非上市公司，而： • 該公司主要從事證券買賣業務；及 • 閣下對該公司可行使法定控制權， 是項申請將視作為 閣下的利益提出。

  • (5) All joint applicants must give (if they are individuals) their Hong Kong Identity Card numbers or, where applicable, passport numbers, or (if they are bodies corporate) their Hong Kong Business Registration numbers.

  • 所有聯名申請人必須提供（如屬個別人士）其香港身份證號碼或（如適用）護照號碼，或（如屬法人 團體）其香港商業登記號碼。

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義 登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中 央結算系統投資者戶口持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

Mixed Media Offer

混合媒介要約

The Company will be relying on Section 9A of 本公司將依據第32L章《公司（豁免公司及招股 the Companies (Exemption of Companies and 章程遵從條文）公告》第9A條，在並非與招股章 Prospectuses from Compliance with Provisions) 程印刷本一併發出的情況下，發出 白色 及 黃色 申 Notice (Cap. 32L) and will be issuing the WHITE 請表格。招股章程的印刷本的內容與招股章程的 and YELLOW Application Forms without them 電子版本相同，招股章程的電子版本可分別在本 being accompanied by a printed Prospectus. The 公司網站 www.cstonepharma.com 及聯交所網站 contents of the printed Prospectus are identical to www.hkexnews.hk 「 ~~披~~ 露易＞上 ~~市公~~ 司公告＞最新 the electronic version of the Prospectus which can 上 ~~市公~~ 司 ~~公告~~ 」 ~~查~~ 閱及下載。 be accessed and downloaded from the websites of the Company at www.cstonepharma.com and the Stock Exchange at www.hkexnews.hk under the “ HKExnews > Listed Company Information > Latest Listed Company Information ” section, respectively. Members of the public may obtain a copy of the 公眾人士可於二零一九年二月十四日（星期四）上 printed Prospectus, free of charge, upon request 午九時正至二零一九年二月十九日（星期二）中午 during normal business hours from 9:00 a.m. on 十二時正的正常辦公時間內，在以下地點免費索 Thursday, February 14, 2019 until 12:00 noon 取招股章程印刷本： on Tuesday, February 19, 2019 at the following locations: 1. any of the following branches of the receiving 1. 本公司收款銀行的下列任何分行： bank of the Company: Standard Chartered Bank (Hong Kong) Limited 渣打銀行（香港）有限公司 Branch Name Address 分行名稱 地址 Hong Kong Island 188 Des Voeux Road Shop No. 7 on G/F 香港島 188德輔道中分行 香港德輔道中188號 Branch Whole of 1/F – 3/F Golden Centre 金龍中心 188 Des Voeux Road Central 地下7號舖，1樓至3樓全層 Hong Kong 銅鑼灣分行 銅鑼灣怡和街38-40A號 Causeway Bay Branch G/F to 2/F, Yee Wah Mansion 怡華大廈地下至2樓 38-40A Yee Wo Street 九龍區 旺角分行 旺角彌敦道617-623號 Causeway Bay 地下B舖，一樓及二樓 Kowloon Mongkok Branch Shop B, G/F, 1/F & 2/F 617-623 Nathan Road 68彌敦道分行 尖沙咀彌敦道66-70號 金冠大廈地庫、地下B1號舖及中層 Mongkok 68 Nathan Road Branch Basement, Shop B1 新界區 元朗豐年路分行 元朗青山公路段239-247及247A號 G/F and M/F Golden Crown Court 萬昌樓地下前舖Ｂ號及一樓全層 66-70 Nathan Road Tsimshatsui New Territories Yuen Long Fung Nin Shop B at G/F and 1/F Road Branch Man Cheong Building 239-247&247A Castle Peak Road Yuen Long

公司網站 www.cstonepharma.com 及聯交所網站 www.hkexnews.hk 「 ~~披~~ 露易＞上 ~~市公~~ 司公告＞最新 上 ~~市公~~ 司 ~~公告~~ 」 ~~查~~ 閱及下載。

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant 如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義 登記將獲發行的香港發售股份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中 央結算系統投資者戶口持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

  1. any of the following offices of the Hong Kong 2. 香港包銷商以下任何辦事處： Underwriters: (a) Goldman Sachs (Asia) L.L.C. , at 59/F, (a) 高盛（亞洲）有限責任公司 ，地址為香 Cheung Kong Center, 2 Queen’s Road 港中環皇后大道中2號長江集團中心59 Central, Hong Kong; 樓； (b) Morgan Stanley Asia Limited , at 46/F, (b) 摩根士丹利亞洲有限公司 ，地址為香 International Commerce Centre, 1 Austin 港九龍柯士甸道西1號環球貿易廣場46 Road West Kowloon, Hong Kong; 樓； (c) UBS AG Hong Kong Branch , at 52/F, (c) UBS AG香港分行 ，地址為香港中環金 Two International Finance Centre, 8 融街8號國際金融中心二期52樓；及 Finance Street, Central, Hong Kong; and (d) China Merchants Securities (HK) Co., (d) 招商證券（香港）有限公司 ，地址為香 Limited , at 48/F, One Exchange Square, 港中環交易廣場一期48樓；及 Central, Hong Kong; and 3. the Depository Counter of HKSCC at 1/F, One 3. 香港結算存管處服務櫃檯，地址為香港中環 & Two Exchange Square, 8 Connaught Place, 康樂廣場8號交易廣場一座及二座一樓。 Central, Hong Kong. Details of where printed Prospectuses may 可索取招股章程印刷本的地址詳情將於派發白色 be obtained will be displayed prominently at 及黃色申請表格的各個地點以顯眼方式展示。 every location where WHITE and YELLOW Application Forms are distributed. During normal business hours from 9:00 a.m. on 於二零一九年二月十四日（星期四）上午九時正至 Thursday, February 14, 2019 until 12:00 noon on 二零一九年二月十九日（星期二）中午十二時正的 Tuesday, February 19, 2019, at least three copies 正常辦公時間內，在派發 白色 及 黃色 申請表格的 of the printed Prospectus will be available for 各個地點（載於招股章程「如何申請香港發售股 inspection at every location where the WHITE and 份」），均有至少三份招股章程印刷本可供查閱。 YELLOW Application Forms are distributed as set out in “ How to Apply for Hong Kong Offer Shares ” in the Prospectus.

於二零一九年二月十四日（星期四）上午九時正至 二零一九年二月十九日（星期二）中午十二時正的 正常辦公時間內，在派發 白色 及 黃色 申請表格的 各個地點（載於招股章程「如何申請香港發售股 份」），均有至少三份招股章程印刷本可供查閱。

This page is intentionally left blank 此乃白頁 特意留空

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant

How to make your application

  1. Use the table below to calculate how much you must pay. Your application must be for a minimum of 500 Hong Kong Offer Shares and in one of the numbers set out in the table, or your application will be rejected.

NUMBER OF SHARES THAT MAY BE APPLIED FOR AND PAYMENTS

No. of
Amount
No. of
Amount
No. of
Amount
No. of
Amount
Hong Kong
payable
Hong Kong
payable
Hong Kong
payable
Hong Kong
payable
Offer Shares
on application
Offer Shares
on application
Offer Shares
on application
Offer Shares
on application
2.
3.		 applied for
HK$
applied for
HK$
applied for
HK$
applied for
HK$
500
1,000
1,500
2,000
2,500
3,000
3,500
4,000
4,500
5,000
6,000
7,000
6,464.49
12,928.99
19,393.48
25,857.97
32,322.46
38,786.96
45,251.45
51,715.94
58,180.44
64,644.93
77,573.91
90,502.90
8,000
9,000
10,000
15,000
20,000
25,000
30,000
35,000
40,000
45,000
50,000
60,000
103,431.88
116,360.87
129,289.86
193,934.78
258,579.71
323,224.64
387,869.57
452,514.50
517,159.42
581,804.35
646,449.28
775,739.14
70,000
80,000
90,000
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
900,000
905,028.99
1,034,318.85
1,163,608.70
1,292,898.56
2,585,797.12
3,878,695.68
5,171,594.24
6,464,492.80
7,757,391.36
9,050,289.92
10,343,188.48
11,636,087.04
1,000,000
2,000,000
3,000,000
4,000,000
5,000,000
6,000,000
7,000,000
8,000,000
9,000,000
9,320,000(1)
12,928,985.60
25,857,971.20
38,786,956.80
51,715,942.40
64,644,928.00
77,573,913.60
90,502,899.20
103,431,884.80
116,360,870.40
120,498,145.79
(1)Maximum number of Hong Kong
Offer Shares you may apply for.

You, as the applicant(s), must complete the form in English (in BLOCK letters) as indicated below and sign on the
second page of the Application Form. Only written signatures will be accepted (and not by way of personal chop).
If you are applying through a designated CCASS Participant (other than a CCASS Investor Participant):
•
the designated CCASS Participant must endorse the form with its company chop (bearing its
company name) and insert its participant I.D. in the appropriate box.
If you are applying as an individual CCASS Investor Participant:
•
the form must contain your NAME and Hong Kong I.D. Card number.
•
your participant I.D. must be inserted in the appropriate box.
If you are applying as a joint individual CCASS Investor Participant:
•
the form must contain all joint investor participants’ NAMES and the Hong Kong I.D. Card
number of all joint investor participants;
•
your participant I.D. must be inserted in the appropriate box.
If you are applying as a corporate CCASS Investor Participant:
•
the form must contain your company NAME and Hong Kong Business Registration number;
•
your participant I.D. and your company chop (bearing your company name) must be inserted in
the appropriate box.
Incorrect or omission of details of the CCASS Participant including participant I.D. and/or company
chop bearing its company name or other similar matters may render your application invalid.

Staple your cheque or banker’s cashier order to the form. Each application for the Hong Kong Offer Shares
must be accompanied by either one separate cheque or one separate banker’s cashier order. Your application
will be rejected if your cheque or banker’s cashier order does not meet all the following requirements:
The cheque must:
Banker’s cashier order must:
Sample 樣版





•
be in Hong Kong dollars;
•
not be post-dated;
•
be made payable to “Horsford Nominees Limited – CStone Pharmaceuticals Public Offer”;
•
be crossed “Account Payee Only”;
•
be drawn on your Hong Kong dollar bank
•
be issued by a licensed bank in Hong
account in Hong Kong; and
Kong, and have your name certified on the
•
show your account name, which must either
back by a person authorised by the bank.
be pre-printed on the cheque, or be endorsed
The name on the banker’s cashier order
on the back by a person authorised by the
must correspond with your name. If it is
bank. This account name must correspond
a joint application, the name on the back
with your name. If it is a joint application,
of the banker’s cashier order must be the
the account name must be the same as the
same as the first-named applicant’s name.
first-named applicant’s name.

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant

  1. Tear off the Application Form, fold it once and lodge your completed Application Form (with cheque or banker’s cashier order attached) to one of the collection boxes at any of the following branches of: Standard Chartered Bank (Hong Kong) Limited Branch Name Address Hong Kong Island 188 Des Voeux Road Branch Shop No. 7 on G/F Whole of 1/F – 3/F Golden Centre 188 Des Voeux Road Central Hong Kong Causeway Bay Branch G/F to 2/F, Yee Wah Mansion 38-40A Yee Wo Street Causeway Bay Kowloon Mongkok Branch Shop B, G/F, 1/F & 2/F 617-623 Nathan Road Mongkok 68 Nathan Road Branch Basement, Shop B1 G/F and M/F Golden Crown Court 66-70 Nathan Road Tsimshatsui New Territories Yuen Long Fung Nin Road Branch Shop B at G/F and 1/F Man Cheong Building 239-247&247A Castle Peak Road Yuen Long 5. Your Application Form can be lodged at these times: – Thursday, February 14, 2019 9:00 a.m. to 5:00 p.m. – Friday, February 15, 2019 9:00 a.m. to 5:00 p.m. – Saturday, February 16, 2019 9:00 a.m. to 1:00 p.m. – Monday, February 18, 2019 9:00 a.m. to 5:00 p.m. Tuesday, February 19, 2019 – 9:00 a.m. to 12:00 noon 6. The latest time for lodging your application is 12:00 noon on Tuesday, February 19, 2019. The application lists will be opened between 11:45 a.m. to 12:00 noon on that day, subject only to the weather conditions, as described in “Effect of Bad Weather on the Opening of the Application Lists” in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus.

The applications for the Hong Kong Offer Shares will commence on Thursday, February 14, 2019 through Tuesday, February 19, 2019. The application monies (including the brokerage fees, SFC transaction levies and Stock Exchange trading fees) will be held by the receiving bank and on behalf of the Company after the closing of the application lists and the refund monies, if any, will be returned to the applicants without interest on or before Monday, February 25, 2019. Investors should be aware that the dealings in the Shares on the Stock Exchange are expected to commence on Tuesday, February 26, 2019.

如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股 份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

申請手續

  1. 使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為500股香港發售股份，並為下表 所列的其中一個數目，否則恕不受理。
申請手續
1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為500股香港發售股份，並為下表
所列的其中一個數目，否則恕不受理。		 申請手續
1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為500股香港發售股份，並為下表
所列的其中一個數目，否則恕不受理。		 申請手續
1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為500股香港發售股份，並為下表
所列的其中一個數目，否則恕不受理。		 申請手續
1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為500股香港發售股份，並為下表
所列的其中一個數目，否則恕不受理。		 申請手續
1.
使用下表計算 閣下應付的款項。 閣下申請認購的股數須至少為500股香港發售股份，並為下表
所列的其中一個數目，否則恕不受理。
可供申請認購股份數目及應繳款項
申請認購的
香港發售
股份數目
申請時
應繳款項
港元
 申請認購的
香港發售
股份數目
申請時
應繳款項
港元
 申請認購的
香港發售
股份數目
申請時
應繳款項
港元
 申請認購的
香港發售
股份數目
申請時
應繳款項
港元
500
1,000
1,500
2,000
2,500
3,000
3,500
4,000
4,500
5,000
6,000
7,000
6,464.49
12,928.99
19,393.48
25,857.97
32,322.46
38,786.96
45,251.45
51,715.94
58,180.44
64,644.93
77,573.91
90,502.90
 8,000
9,000
10,000
15,000
20,000
25,000
30,000
35,000
40,000
45,000
50,000
60,000
103,431.88
116,360.87
129,289.86
193,934.78
258,579.71
323,224.64
387,869.57
452,514.50
517,159.42
581,804.35
646,449.28
775,739.14
 70,000
80,000
90,000
100,000
200,000
300,000
400,000
500,000
600,000
700,000
800,000
900,000
905,028.99
1,034,318.85
1,163,608.70
1,292,898.56
2,585,797.12
3,878,695.68
5,171,594.24
6,464,492.80
7,757,391.36
9,050,289.92
10,343,188.48
11,636,087.04
樣		 1,000,000
2,000,000
3,000,000
4,000,000
5,000,000
6,000,000
7,000,000
8,000,000
9,000,000
9,320,000(1)
12,928,985.60
25,857,971.20
38,786,956.80
51,715,942.40
64,644,928.00
77,573,913.60
90,502,899.20
103,431,884.80
116,360,870.40
120,498,145.79
(1) 閣下可申請認購的香港發售股份最高
數目。
版
2.
閣下作為申請人，必須按照下列指示以英文正楷填妥表格，並於申請表格次頁簽署，只接納親筆
簽名（不得以個人印章代替）。
如 閣下透過中央結算系統投資者戶口持有人以外的指定中央結算系統參與者提出申請：
•
該指定中央結算系統參與者必須於表格蓋上公司印鑑（附有公司名稱），並在適當方格內填寫
參與者編號。
如 閣下以個人中央結算系統投資者戶口持有人名義提出申請：
•
表格須載有 閣下的姓名和香港身份證號碼。
•
須在適當方格內填寫 閣下的參與者編號。
如 閣下以聯名個人中央結算系統投資者戶口持有人名義提出申請：
•
表格須載有所有聯名投資者戶口持有人的姓名和香港身份證號碼；
•
須在適當方格內填寫 閣下的參與者編號。
如 閣下以公司中央結算系統投資者戶口持有人名義提出申請：
•
表格須載有 閣下的公司名稱和香港商業登記號碼；
•
須在適當方格內填寫 閣下的參與者編號並蓋上公司印鑑（附有公司名稱）。
中央結算系統參與者的資料（包括參與者編號及╱或顯示公司名稱之公司印鑑）或其他類似事項如
有不確或遺漏，均可能導致申請無效。
3.
閣下須將支票或銀行本票釘於表格上。每份香港發售股份申請須附一張獨立開出支票或一張獨立
開出銀行本票。支票或銀行本票必須符合以下所有規定，否則有關的認購申請不獲接納：
Sample
支票必須：
 銀行本票必須：
•
為港元；
•
不得為期票；
•
註明抬頭人為「浩豐代理人有限公司－基石藥業公開發售」；
•
劃線註明「只准入抬頭人賬戶」；
•
從 閣下在香港的港元銀行賬戶中開出；及
•
顯示
閣下的賬戶名稱，而該賬戶名稱
必須已預印在支票上，或由有關銀行授
權的人士在支票背書。賬戶名稱必須
與
閣下姓名╱名稱相同。如屬聯名申
請，賬戶名稱必須與排名首位申請人的
姓名╱名稱相同。		 •
須由香港持牌銀行開出，並由有關銀
行授權的人士在銀行本票背面簽署核
證
閣下姓名╱名稱。銀行本票所示
姓名╱名稱須與
閣下姓名╱名稱相
同。如屬聯名申請，銀行本票背面所示
姓名╱名稱必須與排名首位申請人的姓
名╱名稱相同。

如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股 份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

  1. 請撕下申請表格，對摺一次，然後將填妥的申請表格（連同支票或銀行本票）投入下列任何一家分 行特設的收集箱： 渣打銀行（香港）有限公司 分行名稱 地址 香港島 188德輔道中分行 香港德輔道中188號 金龍中心 地下7號舖，1樓至3樓全層 銅鑼灣分行 銅鑼灣怡和街38-40A號 怡華大廈地下至2樓 九龍區 旺角分行 旺角彌敦道617-623號 地下B舖，一樓及二樓 68彌敦道分行 尖沙咀彌敦道66-70號 金冠大廈地庫、地下B1號舖及中層 新界區 元朗豐年路分行 元朗青山公路段239-247及247A號 萬昌樓地下前舖Ｂ號及一樓全層 5. 閣下可於下列時間遞交申請表格： 二零一九年二月十四日（星期四）－上午九時正至下午五時正 二零一九年二月十五日（星期五）－上午九時正至下午五時正 二零一九年二月十六日（星期六）－上午九時正至下午一時正 二零一九年二月十八日（星期一）－上午九時正至下午五時正 二零一九年二月十九日（星期二）－上午九時正至中午十二時正 6. 截止遞交申請的時間為二零一九年二月十九日（星期二）中午十二時正。本公司將於當日上午十一 時四十五分至中午十二時正期間登記認購申請，唯一會影響此時間的變化因素為當日的天氣情況 （詳見招股章程「如何申請香港發售股份」一節「惡劣天氣對開始辦理申請登記的影響」）。 香港發售股份申請將會自二零一九年二月十四日（星期四）起直至二零一九年二月十九日（星期二） 止。申請款項（包括經紀佣金、證監會交易徵費及聯交所交易費）將由收款銀行於截止辦理申請登 記後代表本公司持有，且退款金額（如有）將於二零一九年二月二十五日（星期一）或之前不計利 息退還予申請人。投資者務請注意，預期股份將於二零一九年二月二十六日（星期二）於聯交所開 始買賣。

  2. 閣下可於下列時間遞交申請表格： 二零一九年二月十四日（星期四）－上午九時正至下午五時正 二零一九年二月十五日（星期五）－上午九時正至下午五時正 二零一九年二月十六日（星期六）－上午九時正至下午一時正 二零一九年二月十八日（星期一）－上午九時正至下午五時正 二零一九年二月十九日（星期二）－上午九時正至中午十二時正

  3. 截止遞交申請的時間為二零一九年二月十九日（星期二）中午十二時正。本公司將於當日上午十一 時四十五分至中午十二時正期間登記認購申請，唯一會影響此時間的變化因素為當日的天氣情況

（詳見招股章程「如何申請香港發售股份」一節「惡劣天氣對開始辦理申請登記的影響」）。

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant CStone Pharmaceuticals 基石藥業 (Incorporated in the Cayman Islands with limited liability) GLOBAL OFFERING Conditions of your application • undertake and confirm that you or the person(s) for whose benefit A. Who can apply you have made the application have not applied for or taken up, 1. You and any person(s) for whose benefit you are applying must or indicated an interest for, and will not apply for or take up, or be 18 years of age or older and must have a Hong Kong address. indicate an interest for, any Offer Shares under the International 2. If you are a firm, the application must be in the individual Offering nor participated in the International Offering; members’ names. • agree to disclose to the Company, the Hong Kong Share 3. The number of joint applicants may not exceed four. Registrar, receiving bank and the Relevant Persons any 4. If you are a body corporate, the application must be signed by personal data which they may require about you and the a duly authorised officer, who must state his representative person(s) for whose benefit you have made the application; capacity, and stamped with your corporation’s chop. • if the laws of any place outside Hong Kong apply to your 5. You must be outside the United States, not be a United States application, agree and warrant that you have complied with Person (within the meaning of Regulation S under the U.S. all such laws and none of the Company nor the Relevant Securities Act) or a person described in paragraph (h)(3) of Persons will breach any law outside Hong Kong as a result of Rule 902 of Regulation S under the U.S. Securities Act and the acceptance of your offer to purchase, or any action arising not be a legal or natural person of the PRC. from your rights and obligations under the terms and conditions 6. Unless permitted by the Listing Rules or any relevant waivers contained in the Prospectus and this Application Form; that have been granted by the Stock Exchange, you cannot • agree that once your application has been accepted, you may apply for any Hong Kong Offer Shares if you are: not rescind it because of an innocent misrepresentation; • an existing beneficial owner of shares in the Company • agree that your application will be governed by the laws of and/or any of its subsidiaries; Hong Kong; • a Director or chief executive officer of the Company • represent , warrant and undertake that (i) you understand and/or any of its subsidiaries; that the Hong Kong Offer Shares have not been and will not • a close associate of any of the above; be registered under the U.S. Securities Act; and (ii) you and • a connected person of the Company or will become a any person for whose benefit you are applying for the Hong connected person of the Company immediately upon Kong Offer Shares are outside the United States (as defined in completion of the Global Offering; or Regulation S) or are a person described in paragraph (h)(3) of • have been allocated or have applied for or indicated Rule 902 of Regulation S; an interest in any Offer Shares under the International • warrant that the information you have provided is true and Offering. accurate; B. If you are a nominee • agree to accept the Hong Kong Offer Shares applied for, or You, as a nominee, may make more than one application for the any lesser number allocated to you under the application; Hong Kong Offer Shares by: (i) giving electronic instructions to • authorise the Company to place the name of the HKSCC HKSCC via Central Clearing and Settlement System (“ CCASS ”) (if Nominees on the Company’s register of members as the you are a CCASS Participant); or (ii) using a WHITE or YELLOW holder(s) of any Hong Kong Offer Shares allocated to you, and Application Form, and lodge more than one application in your own the Company and/or its agents to deposit any share certificate(s) name on behalf of different beneficial owners. into CCASS and/or to send any refund cheque(s) to you or the C. Effect of completing and submitting this Application Form first-named applicant for joint application by ordinary post at By completing and submitting this Application Form, you (and if you your own risk to the address stated on the application, unless are joint applicants, each of you jointly and severally) for yourself or you have fulfilled the criteria set out in “Personal Collection” as an agent or a nominee on behalf of each person for whom you act: in the “How to Apply for Hong Kong Offer Shares” section of • undertake to execute all relevant documents and instruct and the Prospectus to collect refund cheque(s) in person; authorise the Company and/or the Joint Global Coordinators • agree that the shares to be allotted shall be issued in the name (or their agents or nominees), as agents of the Company, to of HKSCC Nominees and deposited directly into CCASS for execute any documents for you and to do on your behalf all credit to your investor participant stock account or the stock things necessary to register any Hong Kong Offer Shares account of your designated CCASS Participant; allocated to you in the name of HKSCC Nominees as required • agree that each of HKSCC and HKSCC Nominees reserves by the Articles of Association; the right (1) not to accept any or part of such allotted shares • agree to comply with the Companies Ordinance (Cap. 622), issued in the name of HKSCC Nominees or not to accept such the Companies (Winding Up and Miscellaneous Provisions) allotted shares for deposit into CCASS; (2) to cause such Ordinance (Cap. 32) and the Articles of Association; allotted shares to be withdrawn from CCASS and issued in

• a connected person of the Company or will become a connected person of the Company immediately upon completion of the Global Offering; or • have been allocated or have applied for or indicated an interest in any Offer Shares under the International • Offering. B. If you are a nominee • You, as a nominee, may make more than one application for the Hong Kong Offer Shares by: (i) giving electronic instructions to • HKSCC via Central Clearing and Settlement System (“ CCASS ”) (if you are a CCASS Participant); or (ii) using a WHITE or YELLOW Application Form, and lodge more than one application in your own name on behalf of different beneficial owners.

  • agree that each of HKSCC and HKSCC Nominees reserves the right (1) not to accept any or part of such allotted shares issued in the name of HKSCC Nominees or not to accept such allotted shares for deposit into CCASS; (2) to cause such allotted shares to be withdrawn from CCASS and issued in your name at your own risk and costs; and (3) to cause such allotted shares to be issued in your name (or, if you are a joint applicant, to the first- named applicant) and in such a case, to post the certificates for such allotted shares at your own risk to the address on your application form by ordinary post or to make available the same for your collection;

  • confirm that you have read the terms and conditions and application procedures set out in the Prospectus and in this Application Form and agree to be bound by them;

  • confirm that you have received and read the Prospectus and have only relied on the information and representations contained in the Prospectus in making your application and will not rely on any other information or representations except those in any supplement to the Prospectus;

  • agree that each of HKSCC and HKSCC Nominees may adjust the number of allotted shares issued in the name of HKSCC Nominees;

  • confirm that you are aware of the restrictions on the Global Offering in the Prospectus;

  • agree that neither HKSCC nor HKSCC Nominees shall have any liability for the information and representations not so contained in the Prospectus and this application form;

  • • agree that neither HKSCC nor HKSCC Nominees shall be liable to you in any way;

  • agree that none of the Company, the Relevant Persons and the White Form eIPO Service Provider is or will be liable for any information and representations not in the Prospectus (and any supplement to it);

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant

If your application for Hong Kong Offer Shares is successful (in whole or in part)

• understand that, in accordance with Guidance Letter If your application for Hong Kong Offer Shares is successful (in HKEX-GL91-18 issued by the Stock Exchange, where the whole or in part) International Offer Shares are undersubscribed and the If your application is wholly or partially successful, your Share Hong Kong Offer Shares are oversubscribed irrespective certificate(s) (subject to their becoming valid certificates of of the number of times, up to 18,640,000 Offer Shares may title provided that the Hong Kong Public Offering has become be reallocated to the Hong Kong Public Offering from the unconditional and not having been terminated at 8:00 a.m. on International Offering, so that the total number of the Shares Tuesday, February 26, 2019) will be issued in the name of HKSCC available under the Hong Kong Public Offer will be increased Nominees and deposited directly into CCASS for credit to your to 37,280,000 Offer Shares, representing approximately 20% CCASS Investor Participant stock account or the stock account of of the number of the Offer Shares initially available under the your designated CCASS Participant as instructed by you in your Global Offering (before any exercise of the Over-allotment Application Form on Monday, February 25, 2019 or, in the event of Option), and the final Offer Price shall be fixed at the lowa contingency, on any other date as shall be determined by HKSCC end of the indicative Offer Price range (i.e. HK$11.10 per or HKSCC Nominees. Offer Share) as stated in the Prospectus. Further details of • If you are applying through a designated CCASS Participant the reallocation are stated in the paragraph headed “Structure (other than a CCASS Investor Participant): For Hong Kong of the Global Offering — Hong Kong Public Offering – Offer Shares credited to the stock account of your designated Reallocation and Clawback” of the Prospectus; CCASS Participant (other than a CCASS Investor Participant), • declare and represent that this is the only application made you can check the number of Hong Kong Offer Shares allotted and the only application intended by you to be made to benefit to you with that CCASS Participant. you or the person for whose benefit you are applying; • If you are applying as a CCASS Investor Participant: The • understand that the Company and the Joint Global Company expects to publish the results of CCASS Investor Coordinators will rely on your declarations and Participants’ applications together with the results of the representations in deciding whether or not to make any Hong Kong Public Offering on the website of the Stock allotment of any of the Hong Kong Offer Shares to you and Exchange at www.hkexnews.hk and the Company’s website that you may be prosecuted for making a false declaration; at www.cstonepharma.com on Monday, February 25, • (if the application is made for your own benefit) warrant that 2019. You should check the announcement published by the no other application has been or will be made for your benefit Company and report any discrepancies to HKSCC before on a WHITE or YELLOW Application Form or by giving 5:00 p.m. on Monday, February 25, 2019 or such other date electronic application instructions to HKSCC or to the White as shall be determined by HKSCC or HKSCC Nominees. Form eIPO Service Provider by you or by any one as your Immediately after the credit of the Hong Kong Offer Shares to agent or by any other person; and your stock account you can check your new account balance • (if you are making the application as an agent for the benefit via the CCASS Phone System and CCASS Internet System of another person) warrant that (i) no other application has (under the procedures contained in HKSCC’s “An Operating been or will be made by you as agent for or for the benefit of Guide for Investor Participants” in effect from time to time). that person or by that person or by any other person as agent HKSCC will also make available to you an activity statement for that person on a WHITE or YELLOW Application Form showing the number of Hong Kong Offer Shares credited to or by giving electronic application instructions to HKSCC; your stock account. and (ii) you have due authority to sign the Application Form No receipt will be issued for application money paid. The Company or give electronic application instructions on behalf of that will not issue temporary documents of title. other person as their agent. Refund of your money D. Power of attorney If you do not receive any Hong Kong Offer Shares or if your If your application is made through an authorised attorney, the application is accepted only in part, the Company will refund to Company and the Joint Global Coordinators may accept or reject you your application monies (including the related 1% brokerage, your application at their discretion, and on any conditions they 0.0027% SFC transaction levy and 0.005% Stock Exchange trading think fit, including evidence of the attorney’s authority. fee) without interest. If the Offer Price is less than the maximum Offer Price, the Company will refund to you the surplus application Determination of Offer Price and Allocation of Hong Kong monies (including the related 1% brokerage, 0.0027% SFC Offer Shares transaction levy and 0.005% Stock Exchange trading fee) without The Offer Price is expected to be fixed on or around Tuesday, interest. February 19, 2019. Applicants are required to pay the maximum Offer The refund procedures are stated in the “Despatch/Collection of Price of HK$12.80 for each Hong Kong Offer Share together with 1% Share Certificates and Refund Monies” in the “How to Apply brokerage, 0.0027% SFC transaction levy and 0.005% Stock Exchange for Hong Kong Offer Shares” section of the Prospectus. trading fee. If the Offer Price is not agreed among the Company and the Joint Global Coordinators (for themselves and on behalf of the Effect of the Information You Give to Computershare Hong Underwriters) on or before Monday, February 25, 2019, the Global Kong Investor Services Limited Offering will not proceed. Computershare Hong Kong Investor Services Limited and its

The refund procedures are stated in the “Despatch/Collection of Share Certificates and Refund Monies” in the “How to Apply for Hong Kong Offer Shares” section of the Prospectus.

Computershare Hong Kong Investor Services Limited and its related bodies corporate, directors, officers, employees and agents (“ Representatives ”) expressly disclaim and exclude to the maximum extent permitted by law any liability for any loss or damage suffered or incurred by the applicant or any other person or entity however caused relating in any way to, or connected with, any information provided by or on behalf of the applicant on or in connection with this document or any services provided hereunder, or any other written or oral communication provided by or on behalf of the applicant in connection with this document or any services provided hereunder. This includes, without limitation, any errors or omissions in such information however caused, or the Representatives or any other person or entity placing any reliance on such information or any documentation, image, recording or reproduction of such information, or its accuracy, completeness, currency or reliability.

Applications for Hong Kong Offer Shares will not be processed and no allotment of any Hong Kong Offer Shares will be made until the application lists close.

The Company expects to announce the final Offer Price, the indication of the level of interest in the International Offering, the level of applications under the Hong Kong Public Offering and the basis of allocation of the Hong Kong Offer Shares on Monday, February 25, 2019 on the website of the Stock Exchange at www. hkexnews.hk and the Company’s website at www.cstonepharma. com . Results of allocations and the Hong Kong Identity Card/ passport/Hong Kong business registration numbers of successful applicants (where applicable) will be available on the above websites.

如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股 份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格 CStone Pharmaceuticals 基石藥業 （於開曼群島註冊成立的有限公司） 全球發售 申請條件 ‧ 承諾 及 確認 閣下或 閣下為其利益提出申請的人士並 甲、 可提出申請的人士 無申請或接納或表示有意認購（亦不會申請或接納或表 1. 閣下及 閣下為其利益提出申請的人士必須年滿18歲並 示有意認購）國際發售的任何發售股份，也沒有參與國 有香港地址。 際發售； 2. 如 閣下為商號，申請須以個別成員名義提出。 ‧ 同意 在本公司、香港證券登記處、收款銀行及有關人 3. 聯名申請人不得超過四名。 士提出要求時，向彼等披露其所要求提供有關 閣下 及 閣下為其利益提出申請的人士的個人資料； 4. 如 閣下為法人團體，申請須經獲正式授權人員簽署， ‧ 若香港境外任何地方的法例適用於 閣下的申請，則 同 並註明其所屬代表身份及蓋上公司印鑑。 意 及 保證 閣下已遵守所有有關法例，且本公司及有關 5. 閣下必須身處美國境外，並非美籍人士（定義見美國證 人士概不會因接納 閣下的購買要約，或 閣下在招股 券法S規例）或屬美國證券法S規例第902條第(h)(3)段所 章程及本申請表格所載的條款及條件項下的權利及責任 述的人士，亦非中國法人或自然人。 所引致的任何行動，而違反香港境外的任何法例； 6. 除上市規則或聯交所已授予的任何相關豁免批准外，下 ‧ 同意 閣下的申請一經接納，即不得因無意的失實陳述 列人士概不得申請認購任何香港發售股份： 而撤銷； ‧ 本公司及╱或其任何附屬公司股份的現有實益擁 ‧ 同意 閣下的申請受香港法例規管； 有人； ‧ 聲明 、 保證 及 承諾 ：(i) 閣下明白香港發售股份不曾亦 ‧ 本公司及╱或其任何附屬公司的董事或行政總裁； 不會根據美國證券法登記；及(ii) 閣下及 閣下為其 ‧ 上述任何人士的緊密聯繫人； 利益申請香港發售股份的人士均身處美國境外（定義見 ‧ 本公司關連人士或緊隨全球發售完成後成為本公司 S規例），或屬S規例第902條第(h)(3)段所述的人士； 關連人士的人士；或 ‧ 保證 閣下提供的資料真實及準確； ‧ 已獲分配或已申請或表示有意申請國際發售的任何 ‧ 同意 接納所申請數目或根據申請分配予 閣下但數目較 發售股份。 少的香港發售股份； 乙、 如 閣下為代名人 ‧ 授權 本公司將香港結算代理人的名稱列入本公司股東名 閣下作為代名人可提交超過一份香港發售股份申請，方法 冊，作為 閣下獲分配的任何香港發售股份的持有人， 並授權本公司及╱或其代理將任何股票存入中央結算 是：(i)透過中央結算及交收系統（「 中央結算系統 」）向香港 系統及╱或以普通郵遞方式按申請所示地址向 閣下 結算發出電子認購指示（如 閣下為中央結算系統參與者）； 或聯名申請的首名申請人發送任何退款支票，郵誤風險 或(ii)使用 白色 或 黃色 申請表格以自身名義代表不同的實益擁 由 閣下承擔，除非 閣下已符合招股章程「如何申請 有人提交超過一份申請。 香港發售股份」一節「親身領取」所載條件親身領取退 丙、 填交本申請表格的效用 款支票； 閣下填妥並遞交本申請表格，即表示 閣下（如屬聯名申請 ‧ 同意 獲配發的股份是以香港結算代理人的名義發行，並 人，即各人共同及個別）代表 閣下本身，或作為 閣下代 直接存入中央結算系統，以便記存於 閣下的中央結算 其行事的每位人士的代理或代名人： 系統投資者戶口持有人股份戶口或 閣下的指定中央結 ‧ 承諾 簽立所有相關文件，並指示及授權本公司及╱或 算系統參與者股份戶口； 聯席全球協調人（或彼等的代理或代名人）（作為本公司 ‧ 同意 香港結算及香港結算代理人各自保留權利(1)不接納(1)不接納不接納 代理），為按照組織章程細則的規定將 閣下獲分配的 以香港結算代理人名義發行的該等獲配發的任何或部分 任何香港發售股份以香港結算代理人的名義登記而代 股份，或不接納該等獲配發的股份存入中央結算系統； 表 閣下簽立任何文件及代 閣下進行一切必要事宜； (2)促使該等獲配發的股份從中央結算系統提取，並轉促使該等獲配發的股份從中央結算系統提取，並轉 ‧ 同意 遵守第622章公司條例、第32章公司（清盤及雜項 入 閣下名下，有關風險及費用概由 閣下自行承擔； 條文）條例及組織章程細則； 及(3)促使該等獲配發的股份以(3)促使該等獲配發的股份以促使該等獲配發的股份以 閣下名義發行（或如屬

  • ‧ 同意 香港結算及香港結算代理人各自保留權利(1)不接納(1)不接納不接納 以香港結算代理人名義發行的該等獲配發的任何或部分 股份，或不接納該等獲配發的股份存入中央結算系統； (2)促使該等獲配發的股份從中央結算系統提取，並轉促使該等獲配發的股份從中央結算系統提取，並轉 入 閣下名下，有關風險及費用概由 閣下自行承擔； 及(3)促使該等獲配發的股份以(3)促使該等獲配發的股份以促使該等獲配發的股份以 閣下名義發行（或如屬 聯名申請人，則以排名首位申請人的名義發行），而在 此情況下，會以普通郵遞方式將該等獲配發股份的股票 寄往 閣下在申請表格上所示地址（郵誤風險概由 閣 下自行承擔）或提供該等股票予 閣下領取；

  • ‧ 確認 閣下已細閱招股章程及本申請表格所載的條款及 條件以及申請程序，並同意受其約束；

  • ‧ 確認 閣下已接獲及細閱招股章程，提出申請時也僅依 據招股章程載列的資料及陳述，而除招股章程任何補充 文件外，不會依賴任何其他資料或陳述；

  • ‧ 同意 香港結算及香港結算代理人均可調整獲配發以香港 結算代理人名義發行的股份數目；

  • ‧ 確認 閣下知悉招股章程內有關全球發售的限制；

  • ‧ 同意 香港結算及香港結算代理人對招股章程及本申請表 格未有載列的資料及陳述概不負責；

  • ‧ 同意 本公司、有關人士及 白表eIPO 服務供應商現時及 日後均毋須對並非載於招股章程（及其任何補充文件） 的任何資料及陳述負責；

  • ‧ 同意 香港結算及香港結算代理人概不以任何方式對 閣 下負責；

如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股 份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

‧ 明白 根據聯交所發出的指引信HKEX-GL91-18，當國際 如 閣下成功申請認購香港發售股份（全部或部分） 發售股份認購不足而香港發售股份出現超額認購（不論 如 閣下的申請全部或部分獲接納， 閣下的股票（前提是到 多少倍），最多18,640,000股發售股份可由國際發售重新 二零一九年二月二十六日（星期二）上午八時正香港公開發 售成為無條件而並無終止，股票成為有效的所有權證明）將 配發至香港公開發售，香港公開發售可供認購股份總數 以香港結算代理人名義發出，並按 閣下在申請表格的指示 將從而增加至37,280,000股發售股份，相當於全球發售 於二零一九年二月二十五日（星期一）或在特別情況下由香 初步提呈認購的發售股份數目約20%（於行使任何超額 港結算或香港結算代理人指定的任何其他日期直接存入中央 配股權前），而最終發售價將定於招股章程所述的指示 結算系統，記入 閣下的中央結算系統投資者戶口持有人股 性發售價格範圍下限（即每股發售股份11.10港元）。重 份戶口或 閣下指定的中央結算系統參與者股份戶口。 新配發的進一步詳情載於招股章程「全球發售的架構— ‧ 如 閣下透過中央結算系統投資者戶口持有人以外的指 香港公開發售— 重新分配及回補機制」一段； 定中央結算系統參與者提出申請：香港發售股份將存 ‧ 聲明 及 陳述 此乃 閣下為本身或為其利益提出申請的人 入 閣下指定的中央結算系統參與者（非中央結算系統 士所提出及擬提出的唯一申請； 投資者戶口持有人）股份戶口， 閣下可向該中央結算 ‧ 明白 本公司及聯席全球協調人將依據 閣下的聲明及陳 系統參與者查詢 閣下獲配發的香港發售股份數目。 述而決定是否向 閣下分配任何香港發售股份， 閣下 ‧ 如 閣下以中央結算系統投資者戶口持有人身份提出 如作出虛假聲明，可能會被檢控； 申請：本公司預期於二零一九年二月二十五日（星期 ‧ （如本申請是為 閣下本身利益提出） 保證 閣下或作 一）在聯交所網站( www.hkexnews.hk )及本公司網站 為 閣下代理的任何人士或任何其他人士不曾亦不會 ( www.cstonepharma.com )刊登中央結算系統投資者戶 口持有人的申請結果及香港公開發售的結果。 閣下應 為 閣下利益而以 白色 或 黃色 申請表格或向香港結算或 查閱本公司刊發的公告，如有任何資料不符，請於二零 向 白表eIPO 服務供應商發出電子認購指示而提出其他 一九年二月二十五日（星期一）下午五時正或香港結算 申請；及 或香港結算代理人釐定的任何其他日期前知會香港結 ‧ （如 閣下作為代理為另一人士的利益提出申請） 保證 算。緊隨香港發售股份存入 閣下的股份戶口後， 閣 (i) 閣下（作為代理或為該人士利益）或該人士或任何 下即可透過「結算通」電話系統及中央結算系統互聯網 其他作為該人士代理的人士不曾亦不會以 白色 或 黃色 申 系統（根據香港結算不時生效的「投資者戶口操作簡介」 請表格或向香港結算發出電子認購指示而提出其他申 所載程序）查詢 閣下的新戶口結餘。香港結算亦將 請；及(ii) 閣下獲正式授權作為該人士的代理代為簽 向 閣下提供一份活動結單，列出存入 閣下股份戶口 署本申請表格或發出電子認購指示。 的香港發售股份數目。 本公司不會就申請時繳付的款項發出收據，亦不會發出臨時 丁、 授權書 所有權文件。 如 閣下透過授權代理人提出申請，本公司及聯席全球協調 人可按其認為合適的條件（包括出示獲授權證明）酌情接納 退回款項 或拒絕 閣下的申請。 若 閣下未獲分配任何香港發售股份或申請僅部分獲接納， 本公司將不計利息退回 閣下的申請股款（包括相關的1%經 紀佣金、0.0027%證監會交易徵費及0.005%聯交所交易費）。 釐定發售價及香港發售股份的分配 如發售價低於最高發售價，本公司將不計利息退回多收申請 預期發售價於二零一九年二月十九日（星期二）或前後釐 股款（包括相關的1%經紀佣金、0.0027%證監會交易徵費及 定。申請人須繳付每股香港發售股份12.80港元的最高發售 0.005%聯交所交易費）。 價，另加1%經紀佣金、0.0027%證監會交易徵費及0.005%聯 有關退款程序載於招股章程「如何申請香港發售股份」一節 交所交易費。倘若本公司與聯席全球協調人（為其本身及代 「發送╱領取股票及退款」。 表包銷商）並無於二零一九年二月二十五日（星期一）或之前 協定發售價，全球發售將不會進行。 閣下提供給香港中央證券登記有限公司的資料的有關影響 香港中央證券登記有限公司和其有關聯的法人團體、董事、 截止登記認購申請前，概不處理香港發售股份的申請或配發 高級人員、僱員及代理人（「 代表 」）在法律所容許的最大限 任何香港發售股份。 度內明確卸棄及免除在任何方面與申請人或代表申請人在此

香港中央證券登記有限公司和其有關聯的法人團體、董事、 高級人員、僱員及代理人（「 代表 」）在法律所容許的最大限 度內明確卸棄及免除在任何方面與申請人或代表申請人在此 文件提供的或與此文件或在此文件下提供的任何服務相關的 任何資料，或任何申請人或代表申請人提供與此文件或在此 文件下提供的任何服務相關的任何其他書面或口頭通訊，有 關或相關由申請人或任何其他人士或實體所遭受或招致不論 如何造成的任何損失或損害的任何法律責任。此包括，但不 限於，該等資料中不論如何造成的任何錯誤或遺漏，或代表 或任何其他人士或實體對該等資料或任何該等資料的文件記 錄、影像、記錄或複製品作出的任何依據，或其準確性、完 整性、合時性或可靠性。

本公司預期於二零一九年二月二十五日（星期一） 在聯交所網站( www.hkexnews.hk )及本公司網站 ( www.cstonepharma.com )公佈最終發售價、國際發售踴躍程 度、香港公開發售認購申請數目及香港發售股份分配基準。 分配結果以及獲接納申請人的香港身份證╱護照╱香港商 業登記號碼（如適用）亦同於上述網站公佈。

Please use this form if you want the Hong Kong Offer Shares to be issued in the name of HKSCC Nominees Limited (“HKSCC Nominees”) and deposited directly into the Central Clearing and Settlement System (“CCASS”) for credit to your CCASS Investor Participant stock account or the stock account of your designated CCASS Participant

Personal Data

3. Transfer of personal data

Personal Information Collection Statement

Personal Information Collection Statement Personal data held by the Company and its Hong Kong This Personal Information Collection Statement informs the Share Registrar relating to the securities holders will be kept applicant for, and holder of, Hong Kong Offer Shares, of the confidential but the Company and its Hong Kong Share policies and practices of the Company and its Hong Kong Registrar may, to the extent necessary for achieving any of Share Registrar in relation to personal data and the Personal the above purposes, disclose, obtain or transfer (whether Data (Privacy) Ordinance (Cap. 486) (the “Ordinance”). within or outside Hong Kong) the personal data to, from or 1. Reasons for the collection of your personal data with any of the following: It is necessary for applicants and registered holders of • the Company’s appointed agents such as financial securities to supply correct personal data to the Company or advisers, receiving bankers and overseas principal its agents and the Hong Kong Share Registrar when applying share registrar; for securities or transferring securities into or out of their • where applicants for securities request a deposit into names or in procuring the services of the Hong Kong Share CCASS, HKSCC or HKSCC Nominees, who will Registrar. use the personal data for the purposes of operating Failure to supply the requested data may result in your CCASS; application for securities being rejected, or in delay or the • any agents, contractors or third-party service providers inability of the Company or its Hong Kong Share Registrar who offer administrative, telecommunications, to effect transfers or otherwise render their services. It may computer, payment or other services to the Company or also prevent or delay registration or transfers of the Hong the Hong Kong Share Registrar in connection with their Kong Offer Shares which you have successfully applied respective business operation; for and/or the dispatch of share certificate(s) and/or refund cheque(s) to which you are entitled. • the Stock Exchange, the SFC and any other statutory regulatory or governmental bodies or otherwise as It is important that securities holders inform the Company required by laws, rules or regulations; and and the Hong Kong Share Registrar immediately of any • any persons or institutions with which the securities’ inaccuracies in the personal data supplied. holders have or propose to have dealings, such as 2. Purposes their bankers, solicitors, accountants or stockbrokers The personal data of the securities holders may be used, etc. held, processed, and/or stored (by whatever means) for the following purposes: • processing your application and refund cheque, where 4. Retention of personal data The Company and its Hong Kong Share Registrar will keep applicable, verification of compliance with the terms the personal data of the applicants and holders of securities and application procedures set out in this Application Form and the Prospectus and announcing results of for as long as necessary to fulfil the purposes for which allocation of the Hong Kong Offer Shares; the personal data were collected. Personal data which is no • compliance with applicable laws and regulations in longer required will be destroyed or dealt with in accordance Hong Kong and elsewhere; with the Ordinance. • registering new issues or transfers into or out of the names of securities’ holders including, where 5. Access to and correction of personal data applicable, HKSCC Nominees; Securities holders have the right to ascertain whether the • maintaining or updating the register of securities’ Company or the Hong Kong Share Registrar hold their holders of the Company; personal data, to obtain a copy of that data, and to correct • verifying securities holders’ identities; any data that is inaccurate. The Company and the Hong • establishing benefit entitlements of securities’ holders Kong Share Registrar have the right to charge a reasonable of the Company, such as dividends, rights issues, bonus fee for the processing of such requests. issues, etc.;

  • processing your application and refund cheque, where 4. Retention of personal data applicable, verification of compliance with the terms and application procedures set out in this Application Form and the Prospectus and announcing results of allocation of the Hong Kong Offer Shares;

  • • compliance with applicable laws and regulations in Hong Kong and elsewhere; with the Ordinance.

  • • registering new issues or transfers into or out of the names of securities’ holders including, where 5. applicable, HKSCC Nominees;

  • • maintaining or updating the register of securities’ holders of the Company;

  • distributing communications from the Company and its subsidiaries;

All requests for access to data or correction of data should be addressed to us, at our registered address disclosed in the “Corporate Information” section of the Prospectus or as notified from time to time, for the attention of the company secretary, or our Hong Kong Share Registrar for the attention of the privacy compliance officer.

  • compiling statistical information and securities’ holders profiles;

  • disclosing relevant information to facilitate claims on entitlements; and

  • any other incidental or associated purposes relating to the above and/or to enable the Company and the Hong Kong Share Registrar to discharge their obligations to securities’ holders and/or regulators and/or any other purposes to which the securities’ holders may from time to time agree.

By signing an Application Form or by giving electronic application instructions to HKSCC, you agree to all of the above.

如 閣下欲以香港中央結算（代理人）有限公司（「香港結算代理人」）的名義登記將獲發行的香港發售股 份，並直接存入中央結算及交收系統（「中央結算系統」），以記存於 閣下的中央結算系統投資者戶口 持有人股份戶口或 閣下指定的中央結算系統參與者股份戶口，請使用本表格

個人資料

3. 轉交個人資料

個人資料收集聲明

個人資料收集聲明 本公司及其香港證券登記處所持有關證券持有人的 此項個人資料收集聲明是向香港發售股份的申請人 個人資料將會保密，但本公司及其香港證券登記處 和持有人說明有關本公司及其香港證券登記處有關 可以在為達到上述任何目的之必要情況下，向下列 個人資料和第486章《個人資料（私隱）條例》（「條 任何人士披露，獲取或轉交（無論在香港境內或境 例」）方面的政策和慣例。 外）有關個人資料： • 本公司委任的代理人，例如財務顧問、收款銀 1. 收集 閣下個人資料的原因 行和主要海外股份過戶登記分處； 證券申請人及登記持有人以本身名義申請證券或轉 • （如證券申請人要求將證券存於中央結算系統） 讓或受讓證券時或尋求香港證券登記處的服務時， 香港結算或香港結算代理人；彼等將會就中央 必須向本公司或其代理人及香港證券登記處提供準 結算系統的運作使用有關個人資料； 確個人資料。 • 向本公司或香港證券登記處提供與其各自業務 未能提供所要求的資料可能導致 閣下申請證券被 營運有關的行政、電訊、電腦、付款或其他服 拒或延遲，或本公司或其香港證券登記處無法落實 務的任何代理人、承包商或第三方服務供應 轉讓或提供服務。此舉也可能妨礙或延遲登記或轉 商； 讓 閣下成功申請的香港發售股份及╱或寄發 閣 • 聯交所、證監會及任何其他法定監管機關或政 下應得的股票及╱或退款支票。 府部門或遵照其他法例、規則或法規；及 • 證券持有人與其進行或擬進行交易的任何人士 證券持有人所提供的個人資料如有任何錯誤，須立 或機構，例如彼等的銀行、律師、會計師或股 即通知本公司及香港證券登記處。 票經紀等。 2. 目的 證券持有人的個人資料可被採用及以任何方式持 4. 個人資料的保留 有、處理及╱或保存，以作下列用途： 本公司及其香港證券登記處將按收集個人資料所需 • 處理 閣下的申請及退款支票（如適用）、核實 的用途保留證券申請人及持有人的個人資料。無需 是否符合本申請表格及招股章程載列的條款和 保留的個人資料將會根據條例銷毀或處理。 申請程序以及公佈香港發售股份的分配結果； • 遵守香港及其他地區的適用法律及法規； 5. 查閱和更正個人資料 • 以證券持有人（包括香港結算代理人（如適 證券持有人有權確定本公司或香港證券登記處是否 用））的名義登記新發行證券或轉讓或受讓證 持有其個人資料，並有權索取有關該資料的副本並 券； 更正任何不準確資料。本公司和香港證券登記處有 • 存置或更新本公司證券持有人的名冊； 權就處理任何查閱資料的要求收取合理費用。 • 核實證券持有人的身份； • 確定本公司證券持有人的受益權利，例如股 所有查閱資料或更正資料的要求應按招股章程「公 息、供股和紅股等； 司資料」一節所披露或不時通知的本公司註冊地址

• 向本公司或香港證券登記處提供與其各自業務 未能提供所要求的資料可能導致 閣下申請證券被 營運有關的行政、電訊、電腦、付款或其他服 拒或延遲，或本公司或其香港證券登記處無法落實 務的任何代理人、承包商或第三方服務供應 轉讓或提供服務。此舉也可能妨礙或延遲登記或轉 商； 讓 閣下成功申請的香港發售股份及╱或寄發 閣 • 聯交所、證監會及任何其他法定監管機關或政 下應得的股票及╱或退款支票。 府部門或遵照其他法例、規則或法規；及 • 證券持有人與其進行或擬進行交易的任何人士 證券持有人所提供的個人資料如有任何錯誤，須立 或機構，例如彼等的銀行、律師、會計師或股 即通知本公司及香港證券登記處。 票經紀等。

2. 目的

證券持有人的個人資料可被採用及以任何方式持 4. 個人資料的保留 有、處理及╱或保存，以作下列用途： 本公司及其香港證券登記處將按收集個人資料所需 • 處理 閣下的申請及退款支票（如適用）、核實 的用途保留證券申請人及持有人的個人資料。無需 是否符合本申請表格及招股章程載列的條款和 保留的個人資料將會根據條例銷毀或處理。

所有查閱資料或更正資料的要求應按招股章程「公 司資料」一節所披露或不時通知的本公司註冊地址 送交公司秘書，或向本公司的香港證券登記處的個 人資料私隱事務主任提出。

  • 分發本公司及其附屬公司的通訊；

  • 編製統計數據和證券持有人資料；

  • 披露有關資料以便就權益索償；及

  • 與上述有關的任何其他附帶或相關目的及╱或 使本公司及香港證券登記處能履行對證券持有 人及╱或監管機構承擔的責任及╱或證券持有 人不時同意的任何其他目的。

閣下簽署申請表格或向香港結算發出電子認購指 示，即表示同意上述各項。

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